About
Increasing numbers of investment advisors have moved in the direction of offering discretionary investment management services to their clients. This course covers the various compliance considerations advisors, supervisors and their firms need to take into consideration when dealing on a discretionary basis with clients, including approval processes, fair-trade allocations, and movement from a suitability to a fiduciary standard.
Who should enrol?
- Investment Advisors
- Financial Planners
- Wealth Managers
- Individuals who are subject to CE compliance requirements