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Department of Labor Fiduciary Rule:

The Impartial Conduct Standards (Fixed Annuities) 

 

 

 

Learning outcomes

By the end of the course the learner will be aware of:

Audience

The course is suitable for all staff at all levels and is aimed at individuals and institutions who sell fixed annuities as retirement investments to customers in the United States.

Course duration

The course takes approximately 20-30 minutes.

Assessment

The course includes a short multiple-choice assessment to test learners' understanding of the material.

Course outline

The course starts by discussing the meaning of being a fiduciary and how it is applied in the Fiduciary Rule. It then describes the Impartial Conduct Standards set forth in the Fiduciary Rule and identifies the three main elements: Acting in the Customer’s Best Interest, Avoiding Misleading Statements, and Charging Reasonable Compensation.

The principal sections of the course go into greater detail with regard to the three elements and how they apply to the provision of investment advice with respect to retirement accounts as described by the Department of Labor. The course also provides example scenarios of how fiduciary responsibility applies in the provision of financial advice, as well as real-world scenarios which demonstrate the consequences of violating fiduciary responsibility.

The course is designed to engage the learner both by its bright, modern feel and the use of varied, interactive exercises and scenarios to illustrate the key learning points and test understanding.

Further information

Format

SCORM 1.2 compliant. HTML/CSS/JS.

Implementation

This course runs on any SCORM compliant LMS platform. JavaScript must also be enabled and all pop-up blockers disabled. Requires IE9 or above.

Purchase Terms and Conditions
All prices listed are for a one year license term. This gives the assigned user unlimited access during the 365 day duration.

Purchase Terms and Conditions

All prices listed are for a one year license term. This gives the assigned user unlimited access during the 365 day duration. 

All prices listed exclude VAT. 

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