Description
This course will review the unethical acts described in the NASAA’s model rule for unethical business practices of licensed investment adviser representatives, the SEC’s requirements for a supervised person under its Code of Ethics rule and other common compliance requirements for investment adviser representatives. The course will explore several case studies.
Course Objectives
- Identify various acts that are unethical and prohibited business practices under NASAA model rule for investment adviser representatives;
- Understand the SEC’s minimum requirements for a supervised person under its Code of Ethics rule;
- and Familiarity with common compliance requirements of firms for investment adviser representatives.
Who Should Attend?
Investment Adviser Representatives; Supervisors; Compliance Staff Members; Chief Compliance Officers; and Senior Executives.
Course Delivery
This course will be delivered remotely in a live format and thereafter will be available as a recording. Participants will have the opportunity to ask questions of our instructors.
IAR CE
We intend to submit this course to NASAA to provide one hour of IAR CE credit in the Ethics & Professional Responsibility category. However, at this time this course has been neither submitted nor approved by NASAA. If the course is approved, in order to receive this credit, after viewing the entire presentation (live or recorded), a participant will need to sign up for the associated follow-up materials on our IAR CE platform, CE4Advisers.com. These follow-up materials include: providing a code as proof of attendance; completion of an evaluation of our course and instructor(s); and successfully passing (scoring 70% or higher) an assessment. Once these steps have been successfully, the participant will receive a certificate of completion and we will submit record of your completion to NASAA.
NASAA Disclaimer
NASAA does not endorse any particular provider of CE courses. The content of the course and any views expressed are our own and do not necessarily reflect the views of NASAA or any of its member jurisdictions.
Important Disclosure
Please carefully review the following disclosures and limitations of this course.
- Although the sponsor of this course, RIA Compliance Consultants, Inc. (“Sponsor”), is an affiliate of a law firm and Sponsor may have an individual on its staff that is also licensed as an attorney providing legal services in a completely separate capacity, Sponsor is not a law firm and does not provide legal services or legal advice. A consulting relationship with Sponsor does not provide the same protections as an attorney-client relationship.
- This course is offered for educational purposes only and should not be considered an engagement with the course instructor or Sponsor. This presentation should not be considered a comprehensive review or analysis of the topics discussed today. To these educational materials are not a substitute for consulting with an attorney or compliance consultant in a one-on-one context whereby all the facts of your situation can be considered in their entirety.
- Information provided during this course is provided “as is” without warranty of any kind, either express or implied, including, without limitation, warranties and merchantability, fitness for a particular purpose, or non-infringement. The course instructor and Sponsor assume no liability or responsibility for any errors or omissions in the content of the presentation.
- To the extent that this course description or the course itself includes reference to a pending enforcement action or a consent order, please understand that the course instructor and Sponsor have not not verified the accuracy of the securities regulator’s complaint, order or other statements, and the course instructor and Sponsor are not offering any opinion whether the allegations made by the securities regulator in such enforcement action are accurate.
- The course instructor and Sponsor are not be under an obligation to advise you of any regulatory developments or subsequent changes to educational material presented in this course.
- There is no guarantee or promise that concepts, opinions and/or best practices discussed in this course will be favorably received by a regulator or result in a certain outcome in adversarial proceeding.
- Communication with the course instructor is not protected from discovery by third-parties during litigation or regulatory proceedings. Please keep questions during this course in a hypothetical form.
- Reviewing the slides and/or attending this course does not create a consulting engagement with RIA Compliance Consultants, Inc.
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