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Provider: Kaplan Financial Education
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C27889
Kaplan Financial Education
Credits
2.0
Content Area
Ethics & Professional Responsibility
Description

This course provides an overview of recent regulatory developments and enforcement actions relevant to investment adviser representatives. It emphasizes ethical best practices and fiduciary responsibility in light of current trends and compliance expectations.

Topic(s)
Ethics
Credits
2.0
Format
eLearning module
Other Professional Designations
CFP
CIMA
Complexity
Intermediate
Content Area
Ethics & Professional Responsibility
Course Date
On Demand
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C80791
Kaplan Financial Education
Credits
1.0
Content Area
Products and Practice
Description

This course provides investment adviser representatives with a foundational understanding of mutual fund structures, strategies, and selection processes. It emphasizes ethical responsibilities, regulatory obligations, and due diligence practices necessary to offer client-centered mutual fund recommendations.

Topic(s)
Other
Credits
1.0
Format
eLearning module
Other Professional Designations
CFP
CIMA
Complexity
Overview/Beginner
Content Area
Products and Practice
Course Date
On Demand
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C27895
Kaplan Financial Education
Credits
1.0
Content Area
Ethics & Professional Responsibility
Description

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.

Topic(s)
Ethics
Fiduciary Duty
Credits
1.0
Format
eLearning module
Other Professional Designations
CFP
CIMA
Complexity
Intermediate
Content Area
Ethics & Professional Responsibility
Course Date
On Demand
View Course