IAR CE

Ethical Practices and Fiduciary Obligations

Overview

There are many ethical obligations surrounding the industry. It is up to the investment adviser, firm, and their associated persons to use common sense and ethical business judgment to determine whether a practice: •is dishonest •is unethical •would take unfair advantage of a client This course will examine these ethical obligations. 

Summary Details

Hours

1.0

Price

$20.00







Learning Objectives

  • identify and avoid conflicts of interest in financial services
  • uphold the Regulation Best Interest standard when providing recommendations
  • recognize and report suspicious activity related to anti-money laundering
  • maintain ethical conduct regarding compensation and market manipulation
  • comply with all relevant regulations governing financial activities


Designed For:

Investment Adviser Representatives



Course Information

Adding additional credit may change exam requirements.

Access Period: 12 months
Prerequisites: None
Delivery Method: Self-Study
PDF Download: Available
Course Approval Number: C26869
Provider of Record: WebCE
Provider Number: 90082
Last Reviewed: January 2024
Study Level: Intermediate
Approved For: Ethics and Professional Responsibility

Exam

Proctor: No
Passing Grade: 70
Questions: 10



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