Expert-Led Instruction

Learn from a NASAA-approved instructor with 20+ years of hands-on RIA compliance and regulatory experience—not just theory, but real-world insights you can apply immediately.

NASAA-Approved Courses

Meet your annual 12-credit requirement with courses approved by NASAA and accepted in all states that have adopted the Model Rule for Investment Adviser Representatives.

Practical and Relevant Content

Go beyond checkbox compliance with courses designed specifically for IARs—covering Products & Practice and Ethics & Professional Responsibility with examples from actual advisory practices.

About the course

This self-study continuing education course introduces investment adviser representatives to the foundational ethical and regulatory principles governing client privacy and data security. Designed for IARs new to the profession or those seeking a refresher on core concepts, the course frames privacy not as a technical compliance burden but as a pillar of the fiduciary relationship. Participants will learn why client confidentiality is foundational to investment advice, how Regulation S-P and related rules translate that ethical obligation into specific operating requirements, and what everyday behaviors protect — or compromise — client trust. The course uses scenarios drawn from common advisory settings to help participants recognize privacy risks before they become incidents.

Curriculum

5 Chapters · 5 Lessons

    1. (Included in full purchase)

      Course Description

    1. (Included in full purchase)

      What will you learn by the end of this course?

    1. (Included in full purchase)

      Client Privacy and Data Security: The Ethics of Trust (Beginner)

    1. (Included in full purchase)

      Client Privacy and Data Security: The Ethics of Trust (Beginner)

    1. (Included in full purchase)

      Client Privacy and Data Security: The Ethics of Trust (Beginner)

Earn your IAR continuing education credit while turning privacy from a compliance obligation into a professional strength—enroll today.

This NASAA-approved course satisfies 1 credit toward your Ethics & Professional Responsibility requirement. Gain practical knowledge from an industry expert with over 20 years of RIA compliance experience, and earn the continuing education credits you need to maintain your registration. Your completion is reported to CRD for you, and the per credit reporting fee is included in the price.

$9.99

Enroll now