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Provider: Kaplan Financial Education
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C27889
Kaplan Financial Education
Credits
2.0
Content Area
Ethics & Professional Responsibility
Description

This course provides an overview of recent regulatory developments and enforcement actions relevant to investment adviser representatives. It emphasizes ethical best practices and fiduciary responsibility in light of current trends and compliance expectations.

Topic(s)
Ethics
Credits
2.0
Format
eLearning module
Other Professional Designations
CFP
CIMA
Complexity
Intermediate
Content Area
Ethics & Professional Responsibility
Course Date
On Demand
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C80791
Kaplan Financial Education
Credits
1.0
Content Area
Products and Practice
Description

This course provides investment adviser representatives with a foundational understanding of mutual fund structures, strategies, and selection processes. It emphasizes ethical responsibilities, regulatory obligations, and due diligence practices necessary to offer client-centered mutual fund recommendations.

Topic(s)
Other
Credits
1.0
Format
eLearning module
Other Professional Designations
CFP
CIMA
Complexity
Overview/Beginner
Content Area
Products and Practice
Course Date
On Demand
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C80050
Kaplan Financial Education
Credits
1.5
Content Area
Ethics & Professional Responsibility
Description

This course provides students with knowledge and understanding of the threats and problems created by money laundering and how money launderers operate—including their techniques. Students will learn the laws, rules, and regulations that have been put in place to combat the problems. They will also learn their role in identifying signs that money laundering is taking place and their responsibilities once they have recognized unusual and suspicious activities.

Topic(s)
AML
Ethics
Credits
1.5
Format
eLearning module
Other Professional Designations
CFP
CIMA
Complexity
Intermediate
Content Area
Ethics & Professional Responsibility
Course Date
On Demand
View Course