Approved IAR CE Courses

This course provides investment professionals with a comprehensive understanding of anti-money laundering (AML) and combating the financing of terrorism (CFT). Learners will explore how criminals disguise illicit funds, the evolving tactics used in placement, layering, and integration, and the economic and reputational damage these crimes cause. The program also covers U.S. and international laws, regulatory bodies, and industry responsibilities in preventing financial crime. Through real-world examples and red flag identification, participants will gain the skills to recognize suspicious activity and uphold ethical and professional standards in protecting the integrity of the financial system.

This course explains the SEC's purpose behind passing Reg BI and includes details on the essentialterms and definitions. Readers will examine how Reg BI applies to the relationships that firmsestablish with retail customers and also how to identify when a recommendation is being made tocustomers. Since providing the Client Relationship Summary (Form CRS or Form ADV Part 3) is a new requirement, the course will examine the questions that are asked on the form as well as thelinks that are included for clients to obtain more information about their financial services firm.Finally, the course will analyze the SEC's guidance related to conflicts of interest that firms mayexperience with their clients and, through situational examples, how the firms can be certain thatthey're acting ethically.

This course explores the integration of artificial intelligence and machine learning into investment research, portfolio construction, and risk management. It addresses both the practical uses and ethical challenges of these technologies, emphasizing fairness, transparency, and the importance of human oversight in AI-driven decision-making.