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

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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