Fiduciary Best Practices

Fiduciary Best Practices

Fiduciary Best Practices is an online course that explores the Department of Labor (DOL) Fiduciary Rule and its implications for investment advisors. It covers the requirements, the implications for working with clients, and helps students understand how these standards and requirements work with other standards to which they may be held. It provides a variety of expert opinions, creates opportunity to test and apply your understanding of what you’re learning, and ways to supplement the core instruction to really understand what interests and applies to you, your work with clients, and your circumstances.

Participants must pass six quizzes during the 6-module learning path for successful completion of the program.

Topic Highlights

  • Module 1: DOL Conflict of Interest Rule - Overview
  • Module 2: Overview of the DOL Rule’s Prohibited Transactions Exemption
  • Module 3: The Best Interest Contract Exemption and Related Exemption of Proprietary Products
  • Module 4: The Level Fee Exemption and Rollover Advice
  • Module 5: Grandfathering and Other DOL Rule Exemptions
  • Module 6: Harmonizing the DOL Rule with Other Market Conduct Standards

Registration type

Registration Fee

Register

IMCA Member

$295

Register

Join & Learn

$495

Register

 

Continuing Education

The Fiduciary Best Practices course provides eight hours of continuing education (CE) credit for CIMA/CPWA/CIMC certifications and CFP certification. IMCA is a CFP Board CE Quality Partner. IMCA is registered with NASBA as a sponsor of continuing professional education. Please note that this is a course with a certificate of completion; successful completion of this course does not result in a professional designation or credential.

Group Sales

Are there registration discounts for large groups and can this program be customized for large groups?

Yes. Email Lara Davies or call 303.850.3081 (East companies) or Suzie Byrnes or call 303.850.3093 (West/Mid-West companies) for more information on pricing.