CSBS BAI Course Catalog

Wealth Management

Wealth Management

Wealth Management: An Introduction to TAMPs 20 minutes Intended for wealth management personnel, this course covers the basics of turnkey asset management programs. Using video and optional audio, the course helps wealth and investment advisors understand the characteristics of TAMPs, their potential benefits and limitations, and questions to ask and get answered when considering specific TAMP partners. 45 minutes This course is intended for wealth management personnel needing an overview of the Bank Secrecy Act and its implications for preventing money laundering and terrorism financing. Requirements for wealth management and other financial institutions to know their customers, file Currency Transaction Reports and Suspicious Activity Reports, and compare customers' identities against government lists are discussed. 30 minutes This course is intended for wealth management personnel and provides an overview of available options for education savings. The course details and compares the features of Coverdell ESAs and 529 savings plans. 30 minutes Intended for wealth management personnel, this course covers the benefits, goals, and components of estate and legacy planning. It reviews the value and protective nature of trusts, including discussion of the basic trust types and categories and a closer look at family legacy trusts. The course helps wealth managers recognize the concerns and decisions facing their clients as they create their estate plans. 20 minutes Intended for wealth management personnel, this course covers the basics of estate tax planning. The course helps wealth managers recognize and explain planning tools specific to married couples, as well as the role of gift-giving and trusts in optimizing estate value while minimizing tax consequences. 20 minutes This course covers the fiduciary and ethical obligations of wealth management personnel. The course explores characteristics of ethical wealth managers and financial planners, tools for resolving ethical dilemmas, and the consequences of failing to behave ethically. 30 minutes Intended for wealth management personnel, this course covers Health Savings Accounts, including their bene fits, eligibility requirements, contribution guidelines, and basic reporting requirements. The course provides wealth managers with the fundamentals they need to explain the advantages and mechanics of HSAs to clients. Wealth Management: BSA and AML Considerations Wealth Management: Education Savings Accounts Wealth Management: Estate and Legacy Planning Wealth Management: Estate Tax Planning Wealth Management: Ethics Wealth Management: HSA Fundamentals

Wealth Management: Nondeposit Investment Products

20 minutes

This course is intended for wealth management personnel. It provides an overview of the defining characteristics of nondeposit investment products (NDIPs), associated regulatory requirements, and employee and management responsibility for compliance.

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