Approved IAR CE Courses

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 prepares investment adviser representatives to protect client data
and firm systems. It establishes the threat landscape specific to advisory
practices, sets out the federal and state regulatory baseline governing data
security, and translates both into the controls and workflows a firm actually
operates — including the client verification procedures that stop fraudulent
disbursements and the incident response steps that follow a breach.

It is written for firms without dedicated security staff, where the adviser or
a principal carries the security and compliance responsibility personally,
while remaining applicable to advisers at firms of any size.

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."

Large-scale data breaches and cyberattacks are frequently reported, often leading to misconceptions about their impact, especially for medium and small businesses. While digital business offers many benefits, it also brings evolving risks. This course covers common cyber risks and provides steps to protect your clients’ information and your business from cybercriminals and data breaches.