This intensive course, presented by compliance lawyer Michelle Atlas-Quinn, is meticulously structured to provide investment adviser representatives with a deep dive into the ethical standards and fiduciary responsibilities critical to their roles. Acknowledging that investment advisers are held to a higher standard within the financial industry, this course will ensure they possess a thorough understanding of the foundational principles, stringent regulations, and best practices that inform and guide professional conduct and decision-making.
*CE/CPE Eligible: 2 CE credits are available to subscribers with these designations: CFP, CLU, ChFC and RICP. Special Note: This program is also approved for two CE credit hours for Investment Advisor Representatives.