Approved IAR CE Courses

Cybersecurity & Data Privacy for Investment Professionals is designed to strengthen advisers' ability to protect client data, safeguard firm systems, and navigate evolving technological risks. The course is divided into three chapters: Cybersecurity Essentials, which covers foundational practices for preventing breaches and ensuring data integrity; Enhanced AML Protocols, which examines the intersection of cybersecurity and anti'money laundering compliance; and Ethical Challenges in AI and Fintech, which explores emerging risks and responsibilities associated with new technologies. Together, these modules provide participants with practical strategies to identify vulnerabilities, meet regulatory obligations, and uphold the highest standards of client trust in a digital environment.

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.

This course is designed to provide investment advisers with a comprehensive understanding of cybersecurity threats, best practices for safeguarding client data, and compliance requirements within the financial services industry. Through this course, participants will gain insights into the latest cybersecurity trends, regulatory expectations, and real-world scenarios to enhance their ability to protect sensitive information effectively.

"Over 9 billion data records have been lost or stolen since 2013! With a frequency of almost 5.5 million records exposed every day, it is no longer a question of whether a company has been compromised, but more a question of when it will happen. Beyond prevention and mitigation, firms must be able to develop a comprehensive cybersecurity program that addresses cybersecurity end-user training, detection, response, and recovery.

This course presents the topic of cybersecurity and what it means to the firm. Through an overview of what it is, certain steps that should be taken to spot it, and other educational elements such as how and why cybersecurity regulations impact nearly everything digital, we hope to make clear the absolute necessity of protecting not only client records but the firm’s platforms and infrastructure."