A Guide to Ethics in Investments

ABA SELF-PACED ONLINE TRAINING

Explains the importance of trustee duties, custody of client assets, and recognizing the penalties for violating fiduciary duties. Explores avoiding conflicts of interest and covers information on the Uniform Prudent Investor Act (UPIA). Offers guidelines on ethical behavior related to self-dealing, equal treatment of accounts, and soft dollar services.

Objectives:

  • Describe laws that pertain to ethical behavior for an investment manager
  • Identify trustee duties relating to investment activities and penalties for violating fiduciary duties
  • Describe common violations of conflict of interest when managing investments
  • Explain prudent investor guidelines, including the prudent man standard, the prudent expert standard, and the Uniform Prudent Investor Act

Audience:  Trust officers with at least three years of personal trust experience who need a deeper understanding of technical trust concepts and how solutions work when applied to client needs.

ABA Certifications: 1.25 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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