A Guide to Ethics in Financial Planning

Course Number: GEFP1

Course Code: ABA 337

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.​

Learning Obj​​​​ectives:
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

Audience: Trust officers and other trust department personnel

Prerequisites: n/a

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Member Price: $95.00
Non-Member Price: $130.00
Textbook Charge: $0.00

Credits: ICB: 0.5 CTFA (ETH)

Length: 20 minutes

ABA Training