A Guide to Ethics in Financial Planning

Introduces ethical standards as they apply to assisting the client and the advisors in developing an organized and comprehensive financial plan. Provides specific courses of action to prevent conflicts of interest and the potential to affect objectivity, and examines compensation arrangements in financial planning that should be fully disclosed to the client.​

Learning Objectives

After completing this course, students will be able to:

  • Describe guidelines to avoid conflicts of interest
  • Define the role of the financial planner
  • Describe the most common compensation arrangements in financial planning

Audience

Trust officers and other trust department personnel.

Course Credits

ICB Certifications: 0.50 CTFA

ABA Certificates: This course applies to the ABA Certificate in Trust: Intermediate​.

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Course / Seminar Type: Self-Paced Online
Course / Seminar Category: Wealth Management & Trust
Course / Seminar Code: ABA
Course / Seminar Start Date:
Course / Seminar Price: $95
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