Legal, Compliance and Taxation Aspects of Wealth Management

1.5 units

The course will cover topics in law, compliance, risk management and taxation in wealth management at both the firm and client level. Topics covered include firm regulation; advisor compliance licensing and education; firm risk management; ethics; and taxation of client assets as relates to wealth planning and related firm services required. At the conclusion of this course students will understand the major management issues involved in running a wealth management firm, the obligations of an advisor and the major non-investment considerations for clients of wealth management firms.