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Lesson 1: Understanding Conflicts of Interest

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

Lesson 2: Addressing Conflicts of Interest

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