This course explores the basics of equity options, options strategies, and non-equity options. The course begins by defining and describing call options and put options. Important options concepts are explained, such as what is meant by long versus short positions, American versus European-style options, opening versus closing positions, intrinsic versus time value, and types of settlement. Participants will learn how to calculate their gains and losses from options transactions, as well as how to use options for hedging, income and speculation. Non-equityoptions, such as index options, foreign currency options, and FLEX Options are also described.Finally, the course summarizes the benefits and risks of options, in addition to the most relevant concerns of regulators regarding options trading.
This session will provide advisors with a practical introduction and deeper dive into the structured notes market. We'll explore how these investments are constructed, the problems they are designed to solve, where they may fit within a client portfolio, and how advisors are incorporating structured note strategies into their practices. Advisors will leave with a foundational understanding of the asset class and a framework for evaluating when structured notes may be appropriate.
Timed agenda:
Introduction to CAIS (3 minutes)
Structured Investments Market Trends (3 minutes)
Components of a Structured Note (5 minutes)
Structured Notes in Portfolio Construction (4 minutes)
Types of Structured Notes
Growth Notes & Dual Directional Notes (4 minutes)
Yield Notes & Contingent Yield Examples (4 minutes)
Protection Notes: PPNs & CDs (3 minutes)
Auto-Callable Yield Note: Sample Terms & Scenarios (5 minutes)
Historical Outcome Analysis (5 minutes)
The Bank's Role in the Structured Notes Process
· Deal Structuring & Issuance (3 minutes)
· What Impacts Pricing (4 minutes)
Key Investment Risks (3 minutes)
Questions (4 minutes)
This course provides Investment Adviser Representatives (IARs) with a practical understanding of Outside Business Activity (OBA) rules and their role in identifying, mitigating, and disclosing conflicts of interest. Grounded in fiduciary duty under the Investment Advisers Act of 1940 and applicable SEC, NASAA, and state regulations, the course covers key requirements including prior notice, firm approval, compensation considerations, and regulatory disclosures. Participants will learn how OBAs intersect with fiduciary obligations, when activities may create material conflicts, and how to deliver clear, “full and fair” disclosures to clients. The course also distinguishes OBAs from private securities transactions and clarifies common exemptions, equipping IARs to act in the best interests of their clients while maintaining regulatory compliance.
Overcoming Estate Planning Hesitancy: How Financial Advisors Can Guide Clients Toward Action
Death is an unavoidable fact of life. Planning for death, however, not so much. Despite the many benefits of estate planning, clients still avoid this task, risking additional administrative costs, increased tax liabilities, and future family disagreements about their final wishes. In this webinar, Shelitha Smodic, CFP' shares insights from the latest research on why people hesitate to plan for their estate. This session explores the psychological and practical barriers that lead to estate planning hesitancy and provides tools advisors can use to help guide clients through these challenges. Attendees will learn how factors like mortality salience, life transitions, and even travel can create windows of opportunity for engagement in estate planning. Additionally, behavioral framing techniques, conversation starters, and tools for making estate planning more approachable and relevant for clients in different phases of life will be discussed.
Join us for an insightful session where attendees will discover why private markets present unique investment opportunities. Learn how to evaluate the advantages and challenges of private market investments, gain tools for comparing offerings and understanding fund structures, and identify key questions to ask when considering these opportunities for clients.
This course provides investment advisory representatives with a comprehensive overview of retirement accounts commonly used in the United States. It covers the various types of retirement accounts, their tax implications, regulatory environment, and strategies for effective retirement planning. The course is designed to enhance the advisors' knowledge, enabling them to better assist clients in achieving their retirement goals while adhering to regulatory and ethical standards.
Oxford - Investment Opportunities in Collateralized Loan Obligations (CLOs)
This course provides financial professionals with a clear, practical understanding of Collateralized Loan Obligations (CLOs) and their role in today's investment landscape. Participants will explore how CLOs are structured, managed, and analyzed, with a focus on the unique opportunities and risks associated with CLO equity. Through data-driven insights and a real-world case study, the session highlights how CLO investments can enhance portfolio diversification and generate income. By the end of the course, attendees will gain the knowledge and confidence to better evaluate and discuss CLO strategies with clients and colleagues.