Conflicts of Interest in the Financial Services Industry: What Every Attorney Needs to Know

Accreditation Wreath Icon RI
SKU: FIN9200 Back to Course Listings
Rhode Island selected on map

Rhode Island MCLE
Accreditation Info

United Institute for Continuing Legal Education is a provider of accredited CLE courses throughout the country. To view our full accreditation details please .

All Courses Available iOS/Android Web

All Courses Available iOS/Android Web

About This Course

Referring clients to financial advisers carries some degree of risk. Attorneys need to be knowledgeable about the regulatory framework that distinguishes financial advisers, particularly given the 2020 disclosure documents (Form CRS).

This CLE course will explain the regulation of financial advisers and how standards of care differ. The course will offer strategies for recognizing potential conflicts of interest that may impact the adviser-client relationship as well as how new SEC disclosure tools simplify the due diligence process required before referring a client to a financial services provider.

Build a Bundle Icon

Build a
Bundle

Build the CLE course package you want at discounted prices.

Build your bundleBuild your bundle
Quickest • Most Cost Effective
One Stop Bundle Icon

One Stop Bundles

Most popular option for quickly satisfying your CLE.

Deep Bundle Discount

Browse BundlesBrowse Bundles
Individual Courses Icon

Individual Courses

Complete catalog of CLE Courses for quick, targeted, custom CLE satisfaction.

Choose coursesChoose courses
Decorative Arc

United Makes CLE Easy

A puzzle in a hand

One.

Select Course Package

  • Unlimited CLE

    Enables you to fulfill multiple CLE cycles with one purchase.

  • One-Stop Bundles

    Our most popular courses bundled to save you time and money.

  • Build-A-Bundle

    Select the courses that interest you most while taking advantage of our bundle discount.

A clipboard with a checklist

Two.

Immediate Access to CLE Courses

Courses are available immediately upon checkout. You will have 24/7 access to your purchased courses during the lifetime of your subscription.

Courses can be started, stopped, and paused at any time.

A certificate

Three.

Instantly Print Your Certificate

You can immediately print your CLE certificate upon completion of a course.

A copy of your certificate will remain in your account and will always be accessible to you.

Create Your Account NowCreate Your Account Now
Decorative Arc

Want Different Options?

For a custom suite of courses, our custom CLE option satisfies your CLE cycle requirements in one easy step.

Customize OptionsRight ArrowCustomize Options