Ethical Considerations with Complex Products (IAR CE)
$
12.50
- Estimated time to complete: 50 minutes
- Required score on assessment: 70%
- Attempts permitted on assessment: 3 Attempts
- Optional survey included
This course will review some modern complex investment products. The products examined are equity and debt securities, including structured products, floating rate notes, asset-backed securities, and exchange-traded products. Since many of these products can be risky and difficult to understand, attention is paid to the fiduciary role assumed by investment advisers and their representatives. Additionally, many of the relevant laws, regulations, and ethical requirements for advisers that recommend complex investments will be analyzed.
Chapter list:
1. Ethical Considerations with Complex Products (IAR CE)
2. Course Assessment