Ethics Case Studies Volume II

This course is approved for Ethics and Professional Responsibility credits for several different jurisdictions and licenses. 

In this course, you will cover:

• A case study dealing with a client changing their retirement plans to assist another with a business venture.
• A case study dealing with mistake made by a professional referral

For both cases, the discussion will cover:  

• The advisor's role and responsibilities.
• Possible handling of ethical and regulatory dilemmas.
• Steps to prevent problems before they arise.