Ethics Case Studies, Volume 1



This is a 1 hour course approved for Ethics and Professional Responsibility credits for a number of different jurisdiction and licenses.
In this course, you will cover:

A case study dealing with an inadvertent disclosure of client information.
A case study dealing with an inappropriate use of a Power of Attorney.
For both cases, discussion will cover:

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

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