Ethical Practices of IARs (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 examine the importance of investment advisers establishing a code of ethics by which the firm and its associated persons must follow. Through the use of multiple case studies, readers will gain an understanding of key terms used in the code of ethics as well as the standards and provisions that are required to be included by investment advisers. In addition, other concepts addressed in an adviser’s code of ethics will be reviewed, including private securities transactions, outside business activities, and personal trading.
Chapter list:
1. Ethical Practices of IARs (IAR CE)
2. Course Assessment