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What will you learn about?

  • The phases of CRM’s implementation
  • New requirements for pre-trade disclosure, fixed income compensation, use of benchmark information, and client account statements
  • Enhanced trade confirmations and reporting on charges and compensation
  • Money-weighted versus time-weighted rates of return
  • Compliance and Supervision Issues
  • Elements of Communication and How to Handle Difficult Conversations

This course is taught online and includes a PDF textbook and online interactive modules.

What is the course syllabus?

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Lesson 1: The Basic Concepts of CRM2

Topics covered in this chapter are:

  • The history of the Client Relationship Model
  • The two phases of CRM’s Implementation
  • The new requirements for Pre-Trade Disclosure, Fixed Income Compensation, Use of Benchmark Information, and Account Statements
  • Compliance and Supervision Issues

Lesson 2: 2016: Cost and Performance Reporting

Topics covered in this chapter are:

  • The Report of Charges and Compensation
  • Enhanced Trade Confirmations
  • Money-Weighted Vs. Time-Weighted Rates of Return
  • Compliance and Supervision Issues

Lesson 3: Tying It All Together

Topics covered in this chapter are:

  • Discussions Advisors Can Expect To Have With Their Clients
  • Compliance and Supervision Issues
  • Elements of Communication and How to Handle Difficult Conversations

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