LAWS AND REGULATIONS GOVERNING FINANCIAL ADVISORS
This course delves into the complex legal landscape that financial advisors must navigate in the practice of their profession. Designed for compliance officers and current financial advisors who are interested in understanding the nuances of laws and regulations that apply to them, the course covers topics ranging from fiduciary duties and the regulatory agencies that oversee them, to intricate federal and state laws, as well as ethical considerations that bind advisors.
Course Objectives
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Understand the role of financial advisors and the responsibilities that come with it.
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Identify key laws and regulations at both federal and state levels that govern financial advising.
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Analyze the legal implications of various advising activities, including investment strategies and advice, taxation, and risk management.
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Evaluate the ethical considerations relevant to financial advising and how they intersect with legal regulations.
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Compare and contrast the roles of key regulatory agencies and their powers.
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Understand compliance mechanisms and best practices in financial advising.