Overview
This course explores the fiduciary duty that financial professionals owe to the clients they represent, including the heightened duties that are required when working with senior clients. The course reviews the specific steps financial professionals can take to enhance ethical behavior, how to lawfully use senior designations and credentials, and the importance of having a network of eldercare professionals to whom senior clients can turn for advice when additional expertise is needed.
Find this course for your license
License or Certification
Regulator
Type
Learning Objectives
- understand the importance of maintaining a strong moral code when working with clients
- understand the growing problem of financial fraud against the elderly and some of the red flags that may indicate possible abuse
- understand the distinct fiduciary duties that financial professionals owe to older clients
- identify the specific steps financial professionals can take to provide ethical service to clients and to protect themselves from potential liability
- describe the rules that apply when using senior designations and credentials
- understand the importance of creating an eldercare network to help meet clients’ needs
Designed For:
All registered representatives and principals
Course Information
Adding additional credit may change exam requirements.
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S2-31 - Framework