Certificate in Fiduciary Risk and Compliance

4 courses | 2:30min | Credits: 2.25 CTFA, 1.25 CISP, CRSP, CSOP

Gain a full understanding of the regulatory basis and importance of fiduciary compliance, its elements, and how it affects your role as an advisor. Learn key aspects of federal and other environmental laws, elements of fiduciary liability, and steps fiduciaries can take to manage risk. Learn the importance of client due diligence and ongoing monitoring throughout the life of the relationship. Courses provide a foundation in the regulations, bank policies and procedures and relationship management responsibilities that impact fiduciary risk management and compliance.

Courses include:

• Introduction to Fiduciary Risk Management and Compliance
• Managing Fiduciary Risk and Litigation
• Fiduciary Compliance
• Environmental Liabilities of Fiduciaries