Approved IAR CE Courses

Throughout this course, students will learn what it means to be a fiduciary in the eyes of the SECand other regulators. IARs & Reg BI discusses the top responsibilities of investment advisers actingas fiduciaries as well as the deficiencies most commonly found in regulatory examinations. It scrutinizes the investment adviser code of ethics requirements, common conflicts of interest in thecourse of business, and how failing to deal with them properly can result in disciplinary actions. Case studies illustrate the course concepts.

An IAR's foremost ethical duty is to act as a fiduciary for your clients and nowhere is this moreevidenced than when helping individuals, sometimes decades in advance, determine how they will spend their days after a lifetime of working. What Clients Need to Know: Partnering for Retirement Planning is designed to equip investment adviser representatives with an ethical framework and the strategic judgment necessary to guide clients towards a secure retirement. This course explores theprinciples of fiduciary responsibility, conflict of interest management, transparent communication, and describes the many products available for you to build your clients' futures. Your knowledge of your client and the products available matched with your education of your client on their choicesand needs is the crux of determining a sound and suitable financial plan. By the end of this course, you will understand how to navigate the complex landscape of retirement planning with the highestethical standards, ensuring that client interests are always at the front of your advisory services.