REGULATION OF FINANCIAL PLANNERS
This advanced law course delves into the intricate regulatory landscape governing financial planners. Students will gain a comprehensive understanding of the legal requirements, ethical considerations, and best practices associated with financial planning. The course will cover various aspects of regulation, including registration, licensing, compliance, and enforcement, with a focus on both federal and state laws. Through a combination of lectures, case studies, and practical exercises, students will develop the skills to critically analyze regulatory frameworks and advise financial planners on navigating the complex legal environment.
Course Objectives:
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Develop a comprehensive understanding of the legal and regulatory landscape governing financial planners.
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Analyze the role of federal and state agencies in regulating financial planners.
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Examine the ethical considerations and best practices in financial planning.
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Gain proficiency in navigating registration, licensing, and compliance processes for financial planners.
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Develop the ability to critically evaluate enforcement actions and advise financial planners on risk mitigation.