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 comprehensive course is designed to educate investment adviser representatives on emerging investment products and associated risk management strategies in the modern financial landscape. The curriculum covers key areas including digital assets, ESG investments, structured products, and alternative investments, while providing detailed instruction on risk management fundamentals, regulatory compliance requirements, and best practices for implementation. Through the course, participants learn about sophisticated risk assessment techniques, portfolio management strategies, and the integration of new investment products within traditional portfolio frameworks. The material emphasizes fiduciary responsibilities, regulatory compliance, and effective client communication, particularly regarding complex products and their associated risks.

Curriculum

5 Chapters · 5 Lessons

  1. 1

    Course Description

    1. (Included in full purchase)

      Course Description

  2. 2

    Course Learning Objectives

    1. (Included in full purchase)

      What will you learn by the end of this course?

  3. 3

    Course - Emerging Investment Products & Risk Management

    1. (Included in full purchase)

      Emerging Investment Products & Risk Management

  4. 4

    Course Assessment

    1. (Included in full purchase)

      IA Compliance: Emerging Investment Products & Risk Management

  5. 5

    Course Survey and Feedback

    1. (Included in full purchase)

      Course Survey: Emerging Investment Products & Risk Management

Fulfill your Products and Practices credits while strengthening the foundation of your advisory practice—enroll today.

This NASAA-approved course satisfies 1 credit toward your Products and Practices 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.

$14.95

Enroll now