Investing Fundamentals - Module 3

Module 3 of Investing Fundamentals progresses through a real-life case study and provides insights into how trust investing may have different guidelines and parameters than a simple brokerage or investment account. The module applies the insights learned from investment basics in Module 1 and the process, approach, and governance to investing covered in Module 2. The final Module provides a useful investment case study that also ties in the broader estate planning, financial planning, and wealth transfer concepts covered in earlier lessons. This module is perfect for those with an intermediate understanding of investing.

Prerequisites: Investing Fundamentals - Module 1 & 2

Learning Objectives:

• Recognize the challenges and opportunities that arise when family members with diverse careers and perspectives are entrusted with managing a family office's investment portfolio
• Understand how the source and amount of inherited wealth can shape individual investment goals
• Explore the development and importance of investment policy statements, risk management, and tax efficiency policies in shaping the portfolio
• Investigate the importance of effective communication in family meetings to share investment strategies, goals, and expectations, fostering a deeper understanding among family members with divergent approaches to wealth management.

Featured Resources:

• FINRA: Rules and Guidance