Case Studies in Ethics and Fraud
Overview
This course will discuss ethical challenges and fraudulent activities that investment advisers may face. It will discuss ethical obligations and case studies of moral failures, fraud, scams, and schemes in the financial services industry.
Find this course for your license
License or Certification
Regulator
Type
Learning Objectives
- Understand ethics in the securities industry
- Be able to identify unethical behavior in investment advising
- Be able to identify fraud, scams and schemes impacting the financial services industry
Designed For:
Investment Adviser Representatives
Course Information
Adding additional credit may change exam requirements.
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S2-32 - Framework