Challenging Ethical Times: Fiduciary vs. Suitability

Aired: Thursday, April 20, 2017

2.5 CTFA, 2.5 CRSP, 2.5 CISP, 2.5 CSOP

As we move through a changing regulatory environment, investment professionals are challenged with keeping up with the latest ethical requirements from regulators. Instead of wondering what to do, why don't we as industry leaders show more leadership with these issues?

This topic will be presented at the upcoming 2017 ABA Wealth & Trust Management Conference. In this recording, the history of ethical challenges across various industries, the differences between fiduciary and suitability standards that apply to investment professionals, and why the two standards exist is discussed. We challenge you to take the lead on this issue, and not wait for regulators to determine your ethics. During this recording, we explore how to take a position that shows leadership for our industry when it comes to ethical behavior. Don't miss this opportunity to get your questions answered!

This recording focuses on:

  • Understanding the art and science of ethics
  • Articulating the requirements for suitability and fiduciary standards
  • Taking action to show leadership on ethical issues for investment professionals


  • Ronald Florance, CFA, Advisory Board Member, Robertson Stephens Advisors, RMF Consulting, LLC

 Continuing Education Credits

The Institute of Certified Bankers (ICB) has approved this program for 2.0 CISP, 2.0 CRSP, 2.0 CSOP and 2.0 CTFA continuing education credits for the live program and the recording.

CPE logoRecordings are not eligible for CPE credits.

American Bankers Association is registered with the National Association of State Boards of Accountancy (NASBA) as a sponsor of continuing professional education on the National Registry of CPE Sponsors. State boards of accountancy have final authority on the acceptance of individual courses for CPE credit. Complaints regarding registered sponsors may be submitted to the National Registry of CPE Sponsors through its website:
​Questions? Please contact Linda Shepard / Cari Hearn for more information.

 Pricing & Purchasing


Online Streaming Recording
Now Available

ABA Member • $235
Non-Member • $365


 Who Should Attend

  • Portfolio Managers
  • Wealth Managers
  • Investment Managers
  • Private Bank Relationship Managers
  • Trust Officers
  • Trust Managers
  • Financial Planners
  • Registered Financial Advisors
  • CTFAs, CSOPs, CRSPs, CISPs, CPAs and CFPs

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