Fiduciary Best Practices

Fiduciary Best Practices

Fiduciary Best Practices is an online course that explores the Department of Labor (DOL) Fiduciary Rule and its implications for investment advisors. It covers the requirements, the implications for working with clients, and helps students understand how these standards and requirements work with other standards to which they may be held. It provides a variety of expert opinions, creates opportunity to test and apply your understanding of what you’re learning, and ways to supplement the core instruction to really understand what interests and applies to you, your work with clients, and your circumstances.

Participants must pass six quizzes during the 6-module learning path for successful completion of the program.

Topic Highlights

  • Module 1: DOL Conflict of Interest Rule - Overview
  • Module 2: Overview of the DOL Rule’s Prohibited Transactions Exemption
  • Module 3: The Best Interest Contract Exemption and Related Exemption of Proprietary Products
  • Module 4: The Level Fee Exemption and Rollover Advice
  • Module 5: Grandfathering and Other DOL Rule Exemptions
  • Module 6: Harmonizing the DOL Rule with Other Market Conduct Standards

Registration type

Registration Fee

Register

IMCA Member

$295

Register

Join and Learn

$495

Register

IMCA e-Campus

IMCA’s e-campus offers access to the Fiduciary Best Practices Program. Click here to log into IMCA’s e-campus.

Continuing Education

This program provides 8 hours of continuing education (CE) credit for CIMA/CPWA/CIMC certifications and CFP certification. IMCA is registered with NASBA as a sponsor of continuing professional education. Please note that this is a certificate program and successful completion does not result in a professional designation or credential.

Frequently Asked Questions 

Are there registration discounts for large groups?
Yes. E-mail Lara Davies or call 303.850.3081 (east coast companies) or e-mail Suzie Byrnes/call 303.850.3093 (west coast/mid-west companies) for more information on pricing.

Can this program be customized for large groups?
Yes. E-mail Lara Davies/call 303.850.3081 (east coast companies) or e-mail Suzie Byrnes/call 303.850.3093 (west coast/mid-west companies) for more information about customization capabilities and pricing.