All financial advisors need to prepare to serve in a fiduciary capacity, no matter the outcome of the DOL Rule. This course picks up where the DOL Rule leaves off. Once the Rule’s conflict of interest disclosures are made, a financial advisor will be required to demonstrate that their advice is procedurally prudent.
This course answers the question: “What constitutes a prudent decision-making process?” It defines a uniform fiduciary decision-making framework that is based on best practices, FINRA rules, and financial planning principles. In addition, learners are shown how purpose and passion can amplify and improve the outcomes of a prudent decision-making process.
The course was developed by SS&C Senior Fellow, Don Trone, Co-Founder and CEO of 3ethos. Don is the author of 10 books on fiduciary responsibility and portfolio management and has been a fiduciary governance advocate for more than 30 years. He has trained more than 10,000 advisors and trustees in fiduciary responsibility. This two-hour course is available online or as an instructor led course. CE: Pending approval for CIMA, fi360, ARA, and CFP.
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