A Guide to Ethics in Financial Planning

ABA SELF-PACED ONLINE TRAINING

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.

Objectives:

  • 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 department personnel.

ABA Certifications: 0.5 CTFA

The New York Bankers Association is a Local ABA Training Provider.

Questions:
NYBA Professional Development at (212) 297-1679 or education@nyba.com.
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Non-Member $130


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