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 builds on the foundational principles of client privacy to address the ethical and operational complexities that experienced investment adviser representatives encounter in modern practice. The course examines the SEC's 2024 amendments to Regulation S-P — including the new incident response and customer notification requirements — and explores how ethical obligations evolve as advisory firms adopt cloud services, work with vendors, integrate artificial intelligence tools, and respond to cybersecurity incidents. Participants will analyze the ethical dimensions of vendor due diligence, examine the duties that arise when a privacy breach occurs, and apply judgment to ambiguous scenarios where regulatory requirements and ethical obligations diverge. The course assumes prior exposure to Regulation S-P fundamentals and is designed for IARs, compliance officers, and operations personnel with several years of advisory experience.

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 (Intermediate)

    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