This course provides a comprehensive understanding of interval funds, including how they compare to other funds, potential advantages, performance measures, fees and expenses, financial reports and statutory and regulatory requirements. This course was created in collaboration with Kevin Vonnahme, Esq. of Mick Law P.C. LLO and as such are the content references for much of the material information. This course qualifies for one CE credit toward the CFP® and other professional designations.
Professionals from Bates Compliance join us on a recorded webinar to help you gain an understanding of the SEC’s Regulation Best Interest rules. After completion of the course, an individual should have an understanding of: (i) Reg BI background, (ii) new obligations, (iii) regulator expectations, (iv) impact on product sales, (v) conflicts, compensation, disclosure and (vi) Reg BI resources. This course is eligible for 1 credit toward the CFP® and other designations.
Discover Unit Investment Trusts (UITs) – registered investment products offering a defined portfolio with a scheduled maturity. This course was produced by AI Insight in partnership with Guggenheim Investments. It provides an overview of the unique structure of a UIT and how it compares to other popular investment options (such as mutual funds and ETFs). You will receive an in-depth look at investor benefits, pricing, as well as the distinctive investor experience that comes from the lifecycle of a UIT. You will also learn how UITs offer access to a wide range of investment choices and may be utilized in both transactional and fee-based accounts to address investor goals.