Rules for conflict identification and management
In the aftermath of the financial crisis, securities regulators have increased their focus on Conflicts of Interest within the financial industry and have introduced a number of new and changed rules. This CE course relates existing regulatory requirements to fast changing regulatory expectations and standards and provides students with the tools they need to identify and manage Conflicts of Interest in today’s complex environment.
Falling under the Compliance and Professional Development category, this online mini-course earns you three hours of CE credits. The course reviews the historical context of Conflicts of Interest and explores how conflicts underpin many regulatory initiatives including the Client Relationship Model (CRM), Best Interests Standards, Mutual Fund Fees, Fee-based Accounts and Personal Financial Dealings with Clients.
Upon completion of Conflicts of Interest, financial services professionals will:
- Improve their understanding of regulatory initiatives concerning conflicts of interest
- Ensure they conduct business under current compliance standards and regulations
- Understand the motivations of industry regulators pertaining to industry oversight
- Build personal and client confidence with high-level up-to-date knowledge of compliance
Who Should Enrol
This 3-hour CE course is intended for financial service professionals.
It is suitable for individuals who wish to stay current with developments in the area of Conflicts of Interest and learn how to identify and manage conflict-related risk.
Individuals who are subject to Compliance/Professional Development CE requirements..