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Wrap Fee Accounts

Course Code: CE_WFA

Audience

Investment advisers, investment adviser representatives, and registered representatives who are considering using wrap fee accounts for their clients will find this course informative. Those who supervise these persons, such as branch managers and legal and compliance personnel will also find this course beneficial.

Course Description

Since more investors are turning to managed accounts, it is important for financial services professionals to understand the nuts and bolts of this type of investing and these types of programs. This course will provide an overview of how wrap fee programs operate as well as practical guidance for advisers to address certain aspects of wrap fee programs that have been a focus of the SEC in recent years. The difference in the types of wrap fee programs are described as well necessary elements included in advisory contracts. The forms that investment advisers are required to give to wrap fee account clients and file with regulators are listed, including Form ADV, and the types of fees associated with these accounts are examined. Finally, a detailed summary the SEC’s recent focus on wrap fee accounts will be given along with some recent regulatory case studies.

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