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IAR CE - Ethics & Professional Responsibility

C28322
1-2-3 CE
Credits
6.0
Content Area
Ethics & Professional Responsibility
Description

IAR CE - Ethics & Professional Responsibility provides investment adviser representatives with a comprehensive, ethics-centered framework for upholding their fiduciary obligations. The course explores ethical decision-making models, communication principles, conflict-management standards, and the ethical application of regulatory requirements. Through real-world case studies and enforcement actions, participants learn to recognize risks, avoid common ethical failures, and strengthen professional judgment. The program emphasizes practical application, documentation standards, and ethical reasoning in complex advisory scenarios.

Credits
6.0
Format
Other Professional Designations
Complexity
Content Area
Ethics & Professional Responsibility
Course Date
On Demand

IAR CE - Products and Practice

C28338
1-2-3 CE
Credits
6.0
Content Area
Products and Practice
Description

This course provides investment adviser representatives with a comprehensive understanding of the products, practices, and regulatory expectations that shape todays advisory landscape. Participants will explore a wide range of investment products'including equities, fixed income, alternative investments, annuities, and portfolio management tools'while gaining insight into how these products align with client goals, risk profiles, and market conditions.The program also examines core advisory practices such as client onboarding, suitability analysis, disclosure obligations, portfolio construction, and ongoing monitoring. Real-world examples and case scenarios help reinforce practical application. By the end of the course, participants will be equipped to make informed product recommendations, enhance client communication, and operate with a higher degree of professional competence in their day-to-day advisory work.

Credits
6.0
Format
Other Professional Designations
Complexity
Content Area
Products and Practice
Course Date
On Demand