Suitability Under the Lens - Investment Recommendations, Product Disclosures, and the 2026 SEC Examination Priorities
C82111
Credits
1.0
Content Area
Products and Practice
Description
This self-study continuing education course provides a comprehensive review of one of the most consequential SEC Division of Examinations 2026 priorities: whether investment recommendations are consistent with product disclosures and with each client's investment objectives, risk tolerance, and financial and personal background. Participants will learn the analytical framework examiners use, examine five specific sub-areas of heightened scrutiny, and apply the principles to realistic scenarios involving older investors, dual-hatted advisers, newly launched private funds, volatility-sensitive products, and advisers new to the private fund space.
Topic(s)
Alternative Products
Client Relationships
Conflicts of Interest
Ethics
Fiduciary Duty
Seniors, elders, or vulnerable adults
Suitability
Credits
1.0
Format
Text-Only
Other Professional Designations
None
Complexity
Intermediate
Content Area
Products and Practice
Course Date
On Demand