Course Information

CFP® CE

Conflicts of Interest

Overview

This course describes how conflicts of interest can arise in the course of a registered representative's business, how to avoid these situations, and how to address a conflict of interest once it has been identified.

Summary Details

Hours

0.5

Price

$12.95

4.67 (61 Ratings)

Learning Objectives

identify the principal areas in which registered representative conflicts of interest are likely to arise in the pursuit of their professional activities
recognize the three principal methods of dealing with conflicts of interest
describe the notice requirements applicable to a registered representative’s engaging in outside business activities
identify the limits placed on a registered representative’s receipt of gifts
describe the rules placed on associated persons’ conflicts of interest in preparing research reports

Designed For:

Retail Representatives

Course Information

Adding additional credit may change exam requirements.

Access Period:	12 months
Prerequisites:	None
Delivery Method:	Self-Study
PDF Download:	Not Available
Provider of Record:	WebCE
Provider Number:	2257
Last Reviewed:	August 2024
Study Level:	Intermediate
Approved For:	General

Exam

Proctor:	No
Passing Grade:	70
Questions:	5

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