Publications | Book
The Discerning Investor: Personal Portfolio Management in Retirement for Lawyers (and Their Clients)
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]](/content/dam/aba-cms-dotorg/products/ecd/ondemand/426433650/426433650.Def.L.png.transform/product-2x/img.png)
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.
Select your state to learn more about the credit details and status of CLE application. Credit is not available for states not listed.
1.00 total credit hours including
-
General
Status:
Approved
1.00 credit hours
Available until:
11/15/2025
1.00 total credit hours including
-
General
Status:
Available for credit
1.00 credit hours
Available until:
11/15/2025
1.00 total credit hours including
-
General
Status:
Available for credit
1.00 credit hours
Available until:
11/15/2024
1.00 total credit hours including
-
General
Status:
Approved
1.00 credit hours
Available until:
11/15/2025
1.00 total credit hours including
-
Substantive Law
Status:
Available for credit
1.00 credit hours
Available until:
11/15/2025
1.00 total credit hours including
-
General
Status:
Approved
1.00 credit hours
Available until:
11/15/2025
1.00 total credit hours including
-
General
Status:
Approved
1.00 credit hours
Available until:
12/31/2024
1.00 total credit hours including
-
General
Status:
Available for credit
1.00 credit hours
Available until:
11/15/2025
1.00 total credit hours including
-
General
Status:
Applied for
1.00 credit hours
Available until:
11/15/2024
1.00 total credit hours including
-
General
Status:
Approved
1.00 credit hours
Available until:
05/31/2024
1.00 total credit hours including
-
General
Status:
Applied for
1.00 credit hours
Available until:
12/31/2023
1.00 total credit hours including
-
General
Status:
Approved
1.00 credit hours
Available until:
11/15/2025
1.00 total credit hours including
-
General
Status:
Approved
1.00 credit hours
Available until:
11/15/2024
1.00 total credit hours including
-
General
Status:
Self apply
1.00 credit hours
Available until:
11/15/2027
1.00 total credit hours including
-
General
Status:
Approved
1.00 credit hours
Available until:
11/15/2024
1.00 total credit hours including
-
General
Status:
Approved
1.00 credit hours
Available until:
12/31/2023
1.00 total credit hours including
-
General
Status:
Approved
1.00 credit hours
Available until:
11/15/2023
1.00 total credit hours including
-
General
Status:
Approved
1.00 credit hours
Available until:
11/15/2024
1.00 total credit hours including
-
General
Status:
Self apply
1.00 credit hours
Available until:
11/15/2025
1.00 total credit hours including
-
General
Status:
Approved
1.00 credit hours
Available until:
11/15/2024
1.00 total credit hours including
-
General
Status:
Approved
1.00 credit hours
Available until:
11/15/2024
1.00 total credit hours including
-
General
Status:
Approved
1.00 credit hours
Available until:
11/15/2025
1.20 total credit hours including
-
General
Status:
Available for credit
1.20 credit hours
Available until:
11/15/2025
1.00 total credit hours including
-
General
Status:
Self apply
1.00 credit hours
Available until:
11/15/2025
1.00 total credit hours including
-
General
Status:
Self apply
1.00 credit hours
Available until:
11/15/2024
1.00 total credit hours including
-
General
Status:
Approved
1.00 credit hours
Available until:
12/31/2025
1.00 total credit hours including
-
General
Status:
Available for credit
1.00 credit hours
Available until:
11/15/2025
1.20 total credit hours including
-
General
Status:
Reciprocity
1.20 credit hours
Available until:
11/15/2025
1.00 total credit hours including
-
General
Status:
Approved
1.00 credit hours
Available until:
11/15/2027
1.00 total credit hours including
-
Areas of Professional Practice
Status:
Approved
1.00 credit hours
Available until:
11/15/2025
1.00 total credit hours including
-
General
Status:
Applied for
1.00 credit hours
Available until:
12/31/2023
1.00 total credit hours including
-
General
Status:
Approved
1.00 credit hours
Available until:
11/15/2025
1.00 total credit hours including
-
General
Status:
Approved
1.00 credit hours
Available until:
11/15/2025
1.00 total credit hours including
-
General
Status:
Approved
1.00 credit hours
Available until:
12/31/2023
1.00 total credit hours including
-
General
Status:
Applied for
1.00 credit hours
Available until:
11/15/2025
1.00 total credit hours including
-
Substantive
Status:
Available for credit
1.00 credit hours
Available until:
11/15/2025
1.00 total credit hours including
-
General
Status:
Approved
1.00 credit hours
Available until:
11/15/2025
1.00 total credit hours including
-
General
Status:
Approved
1.00 credit hours
Available until:
11/15/2024
1.00 total credit hours including
-
General
Status:
Approved
1.00 credit hours
Available until:
11/15/2024
1.00 total credit hours including
-
General
Status:
Available for credit
1.00 credit hours
Available until:
11/15/2025
1.00 total credit hours including
-
General
Status:
Self apply
1.00 credit hours
Available until:
11/15/2025
1.00 total credit hours including
-
General
Status:
Approved
1.00 credit hours
Available until:
11/15/2024
1.00 total credit hours including
-
General
Status:
Approved
1.00 credit hours
Available until:
10/31/2024
1.00 total credit hours including
-
General
Status:
Applied for
1.00 credit hours
Available until:
11/15/2025
1.00 total credit hours including
-
General
Status:
Approved
1.00 credit hours
Available until:
11/15/2025
1.20 total credit hours including
-
General
Status:
Approved
1.20 credit hours
Available until:
11/15/2025
1.00 total credit hours including
-
General
Status:
Applied for
1.00 credit hours
Available until:
10/31/2024
1.00 total credit hours including
-
Law & Legal Procedure
Status:
Approved
1.00 credit hours
Available until:
11/15/2027
1.20 total credit hours including
-
General
Status:
Applied for
1.20 credit hours
Available until:
11/15/2025
1.00 total credit hours including
-
General
Status:
Approved
1.00 credit hours
Available until:
11/15/2023
1.00 total credit hours including
-
General
Status:
Self apply
1.00 credit hours
Available until:
11/15/2025
$00
NON-MEMBERS
$00
MEMBERS
$00
YOUR PRICE
*Additional discounts may apply at checkout
Log In to view your rate
Unlock the discounted member rate
Join first as a member, and then purchase this product at special member pricing
Closed Captioned.
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
Sponsors
Product Code
SL2211DISOLC
Duration
60
Publication Date
11/16/2022 12:00:00 AM
You might also like
Related Products
Publications | Book
The Law of Probate Bonds, Second Edition
Publications | Book
Banking Law Essentials
Publications | Book
Real Estate Ventures: Formulating and Interpreting Promote Hurdles and Distribution Splits
Related Events
Oct
23
Events | Webinar
Consumer Financial Law for Military Members: Series 1 [CC]
CLE 180 min
During this first of two series that focus on consumer financial law involving military families, from this presentation, you will learn the latest about three key topics: (1) the Servicemembers Civi…
Nov
08
Events | Webinar
Consumer Financial Law for Military Members: Series 2 [CC]
CLE 180 min
Through this second of two series concerning consumer law matters for military families, you will examine protections and issues on four topics: (1) developments and protections in consumer payments,…
Oct
05
Events | Webinar
Mortgage Originations Regulatory Compliance 101
CLE 90 min
Residential mortgage lending is a highly regulated industry. When a company offers residential mortgage loans to consumers, the company must often be licensed or authorized to offer the loans and pro…