Approved IAR CE Courses

The course will explain some basic terms and concepts related to artificial intelligence (AI). The course will also review how investment advisers may use AI and will examine the regulatory implications of using AI. Finally, some of the public statements made by regulators regarding AI will be analyzed and hypothetical examples of regulatory violations by advisers using AI will be provided.

This intensive course, presented by compliance lawyer Michelle Atlas-Quinn, is meticulously structured to provide investment adviser representatives with a deep dive into the ethical standardsand fiduciary responsibilities critical to their roles. Acknowledging that investment advisers are held to a higher standard within the financial industry, this course will ensure they possess a thorough understanding of the foundational principles, stringent regulations, and best practicesthat inform and guide professional conduct and decision-making.

As clients age, the language we use to discuss financial matters with them is important. Our fiduciary responsibility, always important, may include additional roles, as necessitated byage or family situation. As trusted advisors, understanding the unique social, familial,physical, and cognitive issues seniors face will help in guiding their financial decision-making.The Senior Safe Act, a consumer protection law passed in 2018, requires advisors to report any exploitation of seniors and exempts advisors of any liability, provided the advisor hashad the proper training. This course is designed to provide you with the proper training, to include practical guidance for communication that ensures suitable guidance and product recommendations for the senior client, especially those with diminished cognitive capacity. You will also learn steps you can use to ethically serve seniors and protect yourself. And you will be educated on the regulators' (Finra and SEC) stance on serving seniors.

This course examines the ethical decisions that investment advisers must make when executing trades for their customers, including the need to monitor the trades and investments being make in their representative's personal account to be able to address and conflicts of interest as well as preventing the use of material, non-public information. The manner in which trades are executed will be examined, with attention on algorithmic and high frequency trading, long-term versus short-term trading, and copy trading. The course will also stress the importance of acting in the best interest of clients when it comes to selecting the broker-dealer through which the firm will execute trades and how trades are allocated among client accounts.

CFP Board's Code of Ethics and Standards of Conduct course reflects the commitment that all CFP' professionals make to high standards of competency and ethics. CFP Board's Code and Standards benefits and protects the public, provides standards for delivering financial planning, and advances financial planning as a distinct and valuable profession. A CFP' professional must complete this Ethics course every two years to help ensure that they understand the requirement to:1. Act with honesty, integrity, competence, and diligence.2. Act in the client's best interests.3. Exercise due care.4. Avoid or disclose and manage conflicts of interest.5. Maintain the confidentiality and protect the privacy of client information.6. Act in a manner that reflects positively on the financial planning profession and CFP' certification.