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Provider: Kaplan Financial Education
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11 - 20 of 51
C80572
Kaplan Financial Education
Credits
2.0
Content Area
Products and Practice
Topic(s)
Securities Products
Credits
2.0
Format
eLearning module
Other Professional Designations
CFP
CIMA
Complexity
Overview/Beginner
Content Area
Products and Practice
Course Date
On Demand
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C80181
Kaplan Financial Education
Credits
1.0
Content Area
Ethics & Professional Responsibility
Topic(s)
Advertising/Marketing Rule
Ethics
Credits
1.0
Format
eLearning module
Other Professional Designations
CFP
CIMA
Complexity
Intermediate
Content Area
Ethics & Professional Responsibility
Course Date
On Demand
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C80790
Kaplan Financial Education
Credits
3.0
Content Area
Ethics & Professional Responsibility
Description

This course explores how ethical obligations and regulatory expectations shape portfolio construction for investment adviser representatives. Topics include balancing client objectives with suitability standards, risk disclosure, and managing potential conflicts in model portfolio strategies.

Topic(s)
Digital Assets
Ethics
Credits
3.0
Format
eLearning module
Other Professional Designations
CFP
CIMA
Complexity
Overview/Beginner
Content Area
Ethics & Professional Responsibility
Course Date
On Demand
View Course