SETTING THE MORAL COMPASS: Professional Responsibility for Financial Advisors

Here is your game plan to achieve the highest standards of professional responsibility. The content of this course is organized around your requirements for knowledge; knowledge of the standards of conduct that apply to your job; knowledge of your client; knowledge of how to attain suitability; knowledge of the necessity of disclosure; and, knowledge of conflict of interest.

• Set your moral compass in the direction of professional responsibility through knowing your client, ensuring suitability, fulfilling disclosure, and putting client interests first;
• Meet regulator expectations as expressed in client-focussed reforms;
• Explore short case studies that illustrate concepts and help understanding.

Reading this course for continuing education credits is one step. Making ongoing reference to the content when confronted with difficult decisions is going to show you a way forward.