Approved IAR CE Courses

This course applies fiduciary care and loyalty to the advisory relationship. It covers reasonable inquiry, product and account alternatives, costs, conflicts, full and fair disclosure, informed consent, scope, execution, monitoring, delegation, correction, and communications. Learners analyze actual incentives and client circumstances and distinguish a substantive client-interest decision from reliance on a label, signature, or generic disclosure.

This course explains how an advisory firm manages client information throughout its lifecycle. It addresses regulatory scope, information inventories, access and authentication, secure sharing, vendors, remote work, physical records, identity theft, incident response, continuity, testing, and governance. Learners distinguish prevention, detection, response, and recovery and build evidence-based controls suited to actual advisory workflows.

This course examines the creation and ethical administration of investment advisory agreements. It covers service scope, authority, fee calculations and disclosures, performance compensation, liability language, assignment, changes, termination, and client transitions. Learners apply the framework to billing, contract inconsistencies, conflicts, client expectations, and practical supervision. The course emphasizes transparent promises, accurate charges, informed decisions, and protection of client interests throughout the relationship.

This course examines prohibited and unethical advisory conduct and the controls needed to recognize, escalate, and prevent it. Topics include unauthorized activity, excessive trading, misleading communications, conflicts, client financial dealings, recommendations, complaints, and supervisory accountability. Fictional scenarios connect legal boundaries to client autonomy, honest communication, fair treatment, and ethical decision-making. Learners evaluate actual authority and incentives and distinguish individual correction from systemic prevention.

This course develops a respectful, evidence-based process for responding to suspected exploitation and unreliable instructions involving vulnerable adults. It distinguishes autonomy, capacity, authority, and exploitation; reviews reporting and protective frameworks; and addresses trusted contacts, agents, privacy, objective records, safety, proportionality, and coordination. Learners apply ethical judgment to ambiguous cases without assuming that age, family status, or concern automatically establishes incapacity or account control.

This course develops a practical method for connecting client facts to investment recommendations. It covers objectives, financial circumstances, risk willingness and capacity, liquidity, time horizons, product understanding, relevant alternatives, costs, restrictions, documentation, implementation, and monitoring. Learners work through household goals and changing circumstances and prepare recommendations that explain the connection between the evidence and the proposed action.