ETHICS 2020: Protecting Your Clients; Protecting Your Practice
3 ETHICS CREDITS (SUBMITTED FOR MA & RI)
In this class you will identify how to:
About the Instructor:
Ray Schnell, CFP, CLU, ChFC, CIA, CCSA, is the owner of Fiduciary Compliance Advisory Services, LLC and he has over 30 years of experience in the global financial services industry. He is a Certified Financial Planner™ professional, a Certified Internal Auditor® and an industry arbitrator with FINRA Dispute Resolution. Ray has provided ethics and compliance leadership, training and guidance in 20+ countries on six continents in the areas of sales practice compliance, fraud investigations and internal audit. He will share his unique perspectives on ethics and compliance risk management, and will elevate your awareness of things you need to know to protect yourself and your clients from financial harm.
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