Delivering Private Investments to the Individual Market: A Business and Legal Guide

This class covers all the basics necessary to develop a manager-specific strategy for attracting AUM from the HNW, mass affluent, and retail markets. It details the dynamics of the major individual distribution channels to these groups; explains how different product types fit those channels as well as the manager’s goals; shows how federal and state securities laws impact marketing and distribution; and highlights outsourcing and partnership opportunities that make the various approaches practical.

Learner Testimonial

I understand that participation in any of the Certification programs (a) will not result in a degree from, alumni status with, or earned academic credit at Florida State University or FSU College of Law (or, to FSU's knowledge, any other institution), (b) will not be recorded on a Florida State University or FSU College of Law transcript, and (c) does not guarantee or suggest that a participant will be admitted to Florida State University, FSU College of Law, or to any other university or institution.

Refunds will only be granted in the event the learner requests a refund, in writing via email to stoopscenter@law.fsu.edu within three (3) business days from the date of registration, or prior to accessing the course, whichever occurs first.  Date of registration will be determined by confirmation of payment.  No refund will be granted in the event the learner accessed a course in any manner.  A processing fee of 2.75% will be deducted from any refund distributed.  Please allow up to 30 days for the processing of all refunds. Once lessons have begun, payment is non-refundable.  The Stoops Center does not give refunds to learners who do not or cannot finish the course or certification for which they have registered.  In the case of a no-show, no refund will be granted.  Emergency cases will be judged on a case-by-case basis.