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, 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 comprehensive continuing education course provides investment advisers with an in-depth examination of ethical principles, fiduciary responsibilities, and regulatory compliance requirements governing the investment advisory profession. The course explores the foundational concepts of investment adviser ethics established under the Investment Advisers Act of 1940 and their practical application in modern advisory practice. Participants will develop a thorough understanding of fiduciary duty requirements, including the duty of loyalty and duty of care, and learn to identify, disclose, and manage conflicts of interest effectively. The course emphasizes practical application through real-world scenarios, case studies, and current regulatory enforcement trends. Special attention is given to emerging challenges in the digital age, including technology considerations, cybersecurity requirements, and evolving client communication standards.

Curriculum

8 Chapters · 9 Lessons

  1. 1

    Course Description

    1. (Included in full purchase)

      Corse Description - Code of Ethics: Analysis & Application

  2. 2

    Course Objectives

    1. (Included in full purchase)

      Course Objectives - Code of Ethics: Analysis & Application

  3. 3

    Code of Ethics: Analysis & Application (Module 1)

    1. (Included in full purchase)

      Module 1 - Code of Ethics: Analysis & Application

  4. 4

    Code of Ethics: Analysis & Application (Module 2)

    1. (Included in full purchase)

      Module 2 - Code of Ethics: Analysis & Application

  5. 5

    Code of Ethics: Analysis & Application (Module 3)

    1. (Included in full purchase)

      Module 3 - Code of Ethics: Analysis & Application

  6. 6

    Code of Ethics: Analysis & Application (Module 4)

    1. (Included in full purchase)

      Module 4 - Code of Ethics: Analysis & Application

  7. 7

    Course Assessment - Code of Ethics: Analysis & Application

    1. (Included in full purchase)

      Course Assessment - Instructions

    2. (Included in full purchase)

      Course Assessment - Code of Ethics: Analysis & Application

  8. 8

    Course Survey and Feedback

    1. (Included in full purchase)

      Course Survey - Code of Ethics: Analysis and Application

Enroll Now and Strengthen Your Fiduciary Foundation

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$29.95

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