Approved IAR CE Courses

Money laundering and terrorist financing are areas where firms must develop and implement a program. That program must be approved in writing by senior management and be reasonably designed to achieve and monitor the firm's compliance with the Bank Secrecy Act (BSA). A well-prepared and carefully implemented anti-money laundering (AML) program requires the involvement of supervisors, managers, and all frontline personnel, including registered representatives and investment advisers. This course provides a thorough orientation to the adoption and implementation of an Anti-Money Laundering and Terrorist Financing compliance program, including written supervisory projects. We will focus on regulatory obligations and include other considerations for various roles within a firm. Then well review findings on these issues as well as responses considered effective practices in preventing or dealing with AML and terrorist financing issues.

This course will discuss anti-money laundering (AML), including the rules and regulations surrounding the obligations of anti-money laundering compliance programs.We will also discuss cybersecurity rules and best practices for firms to adopt to protect themselves from cybersecurity attacks.

This course will discuss ethical challenges and fraudulent activities that investment advisers may face. It will discuss ethical obligations and case studies of moral failures, fraud, scams, and schemes in the financial services industry.

In this course, you will learn about your compliance obligations surrounding Regulation Best Interest (Reg BI), including disclosure, conflict of interest, care obligations, and the consequences of failure to comply.