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A Guide to Ethics in Financial Planning

A Guide to Ethics in Financial Planning introduces ethical standards as they apply to assisting the client and the advisors in developing an organized and comprehensive financial plan. It provides specific courses of action to prevent conflicts of interest and the potential to affect objectivity. This course examines compensation arrangements in financial planning that should be fully disclosed to the client.

 

Audience: Trust officers and other trust department personnel.

 

Learning Objectives: 
After completing this course, students will be able to:

  • Describe guidelines to avoid conflicts of interest
  • Define the role of the financial planner
  • Describe the most common compensation arrangements in financial planning

Commands