Business Ethics for Financial Professionals - Part 5 (Series 5470)
schedule
2h 30m
signal_cellular_alt
All Levels
category
Investment Management
verified
23 credits available
About This Course
This on-demand CPE course offers accessible yet thorough coverage of business ethics for financial professionals - part 5 (series 5470).
Participants will gain a deep understanding of the fundamental concepts, current best practices, and emerging trends in this area. The program addresses real-world challenges practitioners face and provides concrete strategies for handling common situations effectively.
Specifically designed for investment management professionals, this course covers both foundational principles and advanced applications. Through clear explanations and practical examples, you will develop the skills needed to confidently navigate complex issues and deliver superior results for your clients or organization.
Key topics include regulatory requirements, compliance considerations, strategic decision-making, and risk management. Whether you are new to this area or looking to update your knowledge, this program provides the insights and tools necessary for success in today's evolving professional landscape.
Participants will gain a deep understanding of the fundamental concepts, current best practices, and emerging trends in this area. The program addresses real-world challenges practitioners face and provides concrete strategies for handling common situations effectively.
Specifically designed for investment management professionals, this course covers both foundational principles and advanced applications. Through clear explanations and practical examples, you will develop the skills needed to confidently navigate complex issues and deliver superior results for your clients or organization.
Key topics include regulatory requirements, compliance considerations, strategic decision-making, and risk management. Whether you are new to this area or looking to update your knowledge, this program provides the insights and tools necessary for success in today's evolving professional landscape.
Presented By
RH
Robert H. Anderson open_in_new
Partner • Wachtell, Lipton, Rosen & Katz
Mr. Anderson specializes in corporate takeovers, mergers, and corporate restructurings.
BL
Bonnie L. Heiple open_in_new
Counsel • Wilmer Cutler Pickering Hale and Dor, LLP
Ms. Heiple focuses her practice on environmental, energy and natural resources law.
Credits & Accreditations
| Jurisdiction | Credit Type | Credits |
|---|---|---|
| Arizona | General | 3.0 |
| Arkansas | General | 2.5 |
| Colorado | Diversity | 3.0 |
| Delaware | Ethics | 3.0 |
| Georgia | General | 3.5 |
| Hawaii | General | 1.5 |
| Idaho | General | 2.5 |
| Illinois | General | 3.5 |
| Indiana | Diversity | 3.0 |
| Maine | General | 3.5 |
| Maryland | General | 1.0 |
| Massachusetts | General | 2.5 |
| Nevada | General | 2.0 |
| New Mexico | General | 3.0 |
| Ohio | Diversity | 1.0 |
| Oregon | General | 1.0 |
| Pennsylvania | General | 2.0 |
| South Carolina | General | 1.5 |
| Tennessee | General | 3.5 |
| Utah | Diversity | 2.5 |
| Vermont | Ethics | 3.5 |
| Virginia | Ethics | 2.0 |
| West Virginia | General | 3.0 |