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Provider: EducUp Inc.
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Advisory Compliance & Practice Best Practices

C82459
EducUp Inc.
Credits
2.0
Content Area
Products and Practice
Description

An operational-compliance course focused on advertising, client communications, disclosures, recordkeeping, supervision, and internal best practices relevant to the day-to-day work of investment adviser representatives.

Topic(s)
Advertising/Marketing Rule
Audits
Business Continuity Plans/Succession Plans
Client Relationships
Cybersecurity
Disclosures
Discretion/Trading Authorization
Forms (ADV/CRS/U4)
Investment Advisory Services
Regulations
Third-party platforms
Credits
2.0
Format
eLearning module
Other Professional Designations
None
Complexity
Intermediate
Content Area
Products and Practice
Course Date
On Demand

Ethical Conduct, Insider Trading & Professional Responsibility

C82457
EducUp Inc.
Credits
2.0
Content Area
Ethics & Professional Responsibility
Description

A professional-responsibility course covering ethical conduct, material nonpublic information, deceptive practices, financial-crime red flags, confidentiality duties, and escalation decisions for investment adviser representatives.

Topic(s)
Conflicts of Interest
Ethics
Financial Crime
Professional Conduct
Regulations
Credits
2.0
Format
eLearning module
Other Professional Designations
None
Complexity
Intermediate
Content Area
Ethics & Professional Responsibility
Course Date
On Demand

Fiduciary Duty & Conflicts of Interest for IARs

C82456
EducUp Inc.
Credits
2.0
Content Area
Ethics & Professional Responsibility
Description

A practical course on the fiduciary obligations of investment adviser representatives, with emphasis on identifying, disclosing, mitigating, and resolving conflicts of interest. The course uses adviser-client scenarios to connect legal duties with ethical judgment and professional conduct.

Topic(s)
Client Relationships
Conflicts of Interest
Disclosures
Ethics
Fee/Compensation Models
Fiduciary Duty
Professional Conduct
Suitability
Credits
2.0
Format
eLearning module
Other Professional Designations
None
Complexity
Intermediate
Content Area
Ethics & Professional Responsibility
Course Date
On Demand

Investment Products & Portfolio Strategy for IARs

C82460
EducUp Inc.
Credits
2.0
Content Area
Products and Practice
Description

A broad portfolio-practice course covering major asset classes, pooled investment vehicles, risk and return, diversification, asset allocation, portfolio construction, rebalancing, and the use of more complex or alternative products.

Topic(s)
Alternative Products
Bonds/debt securities
Equities
Investment Planning
Portfolio Management
Securities Products
Suitability
Credits
2.0
Format
eLearning module
Other Professional Designations
None
Complexity
Intermediate
Content Area
Products and Practice
Course Date
On Demand

IRA Rollovers & Retirement Distribution Strategies

C82458
EducUp Inc.
Credits
2.0
Content Area
Products and Practice
Description

A practical Products & Practice course on retirement-account structures, rollovers, transfers, employer-plan considerations, distribution planning, beneficiary issues, and tax-sensitive strategy selection for investment adviser representatives.

Topic(s)
Client Relationships
Financial Planning
Investment Planning
Retirement planning
Suitability
Tax
Credits
2.0
Format
eLearning module
Other Professional Designations
None
Complexity
Intermediate
Content Area
Products and Practice
Course Date
On Demand

Protecting Seniors & Vulnerable Investors

C82455
EducUp Inc.
Credits
2.0
Content Area
Ethics & Professional Responsibility
Description

A scenario-driven course focused on the ethical and professional responsibilities of investment adviser representatives when serving seniors and other vulnerable investors. The course addresses financial exploitation, diminished capacity, client autonomy, communication, privacy, trusted contacts, escalation, documentation, and protective practices

Topic(s)
Client Relationships
Conflicts of Interest
Ethics
Fiduciary Duty
Financial Crime
Professional Conduct
Seniors, elders, or vulnerable adults
Suitability
Credits
2.0
Format
eLearning module
Other Professional Designations
None
Complexity
Intermediate
Content Area
Ethics & Professional Responsibility
Course Date
On Demand