Ethical Duties When Working with Senior Clients

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.

Learning Objectives

Students who successfully complete this course will be able to:

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

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Regulator

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