Upon completion of this self-study guide, financial professionals will be able to identify conflicts of interest, risks for the firm and its adviser, risks of political contributions, unmonitored gifts and entertainment, discretionary trading, wrap accounts and financial scams. The critical nature of these topics and their impact on clients and advisers if not handled correctly are included in the course materials and case studies that are provided. Financial professionals will have a demonstrated increase in awareness and knowledge as measured by a post-course assessment or self-evaluation. Real life compliance examples and guidance provided by the SEC illustrate ethical dilemmas and proper conduct. Mastery of these principles protects not only the client relationship but also the adviser's professional reputation.
Upon completion of this self-study guide, Smart Compliance for Investment Advisers: Ethics, Risks, and Everyday Red Flags, financial professionals will be able to identify key ethical principles, fiduciary obligations, and regulatory requirements for key every day compliance topics such as personal securities and code of ethics, insider trading, anti-money laundering, prohibited practices, social media custody, cybersecurity and IRA rollovers. The critical nature of these topics and their impact on clients and advisers if not handled correctly are included in the course materials and case studies that are provided. Financial professionals will have a demonstrated increase in awareness and knowledge as measured by a post-course assessment or self-evaluation. Real life enforcement actions and guidance provided by the SEC illustrate ethical dilemmas and proper conduct. Mastery of these principles protects not only the client relationship but also the adviser's professional reputation.