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    Recognize and Avoid Conflicts of Interest Before Referring a Financial Adviser to Clients [CC]

    Recognize and Avoid Conflicts of Interest Before Referring a Financial Adviser to Clients [CC]
    CLE 60 min

    Recognize and Avoid Conflicts of Interest Before Referring a Financial Adviser to Clients [CC]

    In this program, attendees will understand the conflicts of interest embedded in financial services. Specifically, how these conflicts affect your clients. Attendees will learn how to properly do due diligence before referring a client to a financial services provider.

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      11/15/2025

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      11/15/2025

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      11/15/2025

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      11/15/2025

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      12/31/2024

    1.00 total credit hours including

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      Available for credit

      1.00 credit hours

      Available until:

      11/15/2025

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      11/15/2024

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      05/31/2024

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      11/15/2025

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      11/15/2024

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      Self apply

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      Available until:

      11/15/2027

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      Approved

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      Available until:

      11/15/2024

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      Approved

      1.00 credit hours

      Available until:

      12/31/2024

    1.00 total credit hours including

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      1.00 credit hours

      Available until:

      11/15/2024

    1.00 total credit hours including

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      Self apply

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      Available until:

      11/15/2025

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      11/15/2025

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      11/15/2025

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      11/15/2025

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      11/15/2024

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      10/31/2024

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      11/15/2025

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      11/15/2025

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      11/15/2025

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      11/15/2025

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    This program will help attendees understand the conflicts of interest embedded in financial services, as well as why that's important in preparing for one's own retirement. Attendees will be provided the resources to be able to properly do due diligence before referring a client to a financial services provide. Specifically, attendees will:

    • Learn to find, read, and assess Form CRS (new SEC disclosures) that likely raise the bar on due diligence standards
    • Learn to recognize conflicts of interest that affect your clients when they are seeking a financial adviser
    • Learn to compare and contrast financial service providers

    Product Details

    Speakers

    Julie Jason

    Product Code

    SL2211DISOLC

    Duration

    60

    Publication Date

    11/16/2022 12:00:00 AM

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