Practice
Practice and Products
Best practices for client engagement and modern financial product fundamentals.
A practical CE course covering day-to-day practice management alongside an overview of common financial products including annuities, life insurance, and investment vehicles.
Course Outline
Module 1: Regulatory Foundations of Advisory Products and Practice
Placeholder description for module 1.
- Regulatory Foundations of Advisory Products and Practice
Module 2: Core Investment Products and Portfolio Application
Placeholder description for module 2.
- Module 2: Core Investment Products and Portfolio Application
Module 3: Complex, Alternative, and Emerging Products
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- Module 3: Complex, Alternative, and Emerging Products
Module 4: Practice Standards, Due Diligence and Compliance Processes
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- Module 4: Practice Standards, Due Diligence and Compliance Processes
Module 5: Communications, Advertising and Performance Presentation Compliance
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- Module 5: Communications, Advertising and Performance Presentation Compliance
Module 6: Case Studies, Red Flags and Best Practices in Products and Practice
Placeholder description for module 6.
- Module 6: Case Studies, Red Flags and Best Practices in Products and Practice
Module 7: Final Thoughts
Placeholder description for module 7.
- Final Thoughts