What is the course syllabus?
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Topics covered in this chapter are:
- Introduction
- Client Focused Reforms (CFRs)
- Changes to Conflict of Interest Rules
- What is a Conflict of Interest
- Identifying Material Conflicts of Interest
- When is a Conflict of Interest Material
- Addressing Conflicts of Interest
- Disclosing Conflicts of Interest
- When Disclosure is Appropriate
- Timing of Disclosure
- When Disclosure is not Appropriate
- How to Disclose a Conflict of Interest
- Harmonization Among the Self-Regulatory Organizations
- Regulatory Review
- Summary
Topics covered in this chapter are:
- Introduction
- The Main Types of Conflicts of Interest
- Conflicts Involving Proprietary Products
- Addressing Conflicts Involving Proprietary Products
- Fee-Based Accounts
- Third-Party Compensation
- Referral Arrangements
- Authority Over the Financial Affairs of a Client
- Supervisory Conflicts
- Conflicts Between Clients
- Personal Financial Dealings with Clients
- Outside Activities