Approved IAR CE Courses

Cybersecurity & the IAR describes the importance of a cybersecurity program, beginning with FINRA's Report on Cybersecurty Practices, which includes the top cybersecurity threats and suggested preventative measures. The course continues with the SEC's Cybersecurity Risk Alert and details findings from its most recent sweep. The course explores tactics used to hack into firmsystems and how firms and financial professionals can recognize and prevent breaches. Best practices for financial professionals who handle confidential and sensitive information are detailed, including examples of the specific information that must be protected.

The Presenters review recent trends in cybersecurity, Regulation S-P and client data protection, and protecting Firms and clients from wire fraud.

This course serves as a comprehensive guide for Investment Adviser Representatives on their ethical and regulatory responsibilities in regards to cybersecurity. It explores how an IAR's fiduciary duty of loyalty and care extends to protecting sensitive client data from cyber threats like phishing, ransomware, and business email compromise. Key topics include building a layered defense system through access controls and encryption, conducting vendor due diligence, establishing a culture of security awareness, and creating a formal incident response plan. The curriculum stresses that strong cybersecurity controls is a non-negotiable component of an adviser's professional and ethical commitment to their clients.

This course explores the growing risks of cybercrime and identity theft, equipping professionals with the knowledge to recognize threats and implement safeguards. Youll learn about common attack methods, vulnerable technologies, and best practices for protecting sensitive data in both personal and business contexts. The course also covers key laws, regulations, and insurance considerations to help you guide clients in mitigating risks. By the end, youll be prepared to identify vulnerabilities, respond to incidents, and strengthen cyber resilience.