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Provider: Kaplan Financial Education
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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
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C80789
Kaplan Financial Education
Credits
1.0
Content Area
Ethics & Professional Responsibility
Description

This course examines how investment adviser representatives can ethically and responsibly use technology such as portfolio management tools and client communication platforms. It emphasizes the importance of fiduciary duty, cybersecurity awareness, and transparency when relying on digital systems in client advisory work.

Topic(s)
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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C26623
Kaplan Financial Education
Credits
2.0
Content Area
Ethics & Professional Responsibility
Topic(s)
Ethics
Credits
2.0
Format
eLearning module
Other Professional Designations
CFP
CIMA
Complexity
Overview/Beginner
Content Area
Ethics & Professional Responsibility
Course Date
On Demand
View Course