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What is the course syllabus?
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Lesson 1: Overview of the CFRs and the Regulatory Environment
Topics covered in this chapter are:
- Introduction
- General Overview of the Regulatory Environment
- Legal Responsibilities and Evolution of Relationship Disclosure
- Recent Regulatory Changes
- Summary
Lesson 2: Relationship Disclosure and other Regulatory Requirements
Topics covered in this chapter are:
- Introduction
- Relationship Disclosure
- Outside Activities
- Vulnerable Clients
- Misleading Communications
- Other Areas of Regulatory Focus
- Summary
Lesson 3: Ethical Conduct and the Consequences of Noncompliance
Topics covered in this chapter are:
- Introduction
- Ethical Conduct
- Client Complaints
- Consequences of Noncompliance
- Summary