This live 90-minute course teaches investment adviser representatives (IARs) how to perform due diligence and evaluate private investment opportunities (e.g., real estate syndications, private equity funds, etc.) within a fiduciary framework. Attendees will learn to critically assess the quality of deal sponsors, identify red flags in offering documents, analyze financial projections and deal structures, and determine client suitability for illiquid alternative investments. The content supports an investment adviser's fiduciary duty under the Investment Advisers Act of 1940 and applicable state securities laws, including the duties of care and loyalty, and is designed as an intermediate-level program, assuming participants have a baseline understanding of investment concepts and some client experience in portfolio planning. This course is submitted for IAR continuing education credit under the NASAA Model Rule on Investment Adviser Representative Continuing Education and emphasizes educational content (not product promotion) in compliance with IAR CE program requirements.
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C82137
Credits
1.5
Content Area
Products and Practice
Description
Topic(s)
Conflicts of Interest
Disclosures
Fiduciary Duty
Portfolio Management
Suitability
Credits
1.5
Format
Live webinar/online presentation
Other Professional Designations
CFP
CIMA
Complexity
Intermediate
Content Area
Products and Practice
Course Date
Scheduled Date