Module 15: Ethics, Recommendations, and Taxation
This course offers a detailed exploration of ethical practices, investment recommendations, and taxation in the financial services industry. It prepares you to navigate the responsibilities of a securities professional while maintaining compliance with industry standards.
- Ethical Standards: Learn the core ethical principles that guide securities professionals, focusing on integrity, fairness, and regulatory compliance.
- Investment Recommendations: Understand the process of making suitable investment recommendations tailored to clients' financial goals, risk tolerance, and time horizons.
- Taxation Considerations: Gain insights into the tax implications of various investment products, including capital gains, dividends, and tax-advantaged accounts.
This course is ideal for professionals seeking to uphold ethical standards in their practice, provide sound investment advice, and manage the tax considerations of their clients effectively.
Module 15: Ethics, Recommendations, and Taxation
Members only
Module 15: Ethics, Recommendations, and Taxation offers a comprehensive understanding of ethical standards, investment suitability, risk analysis, ...
Membership