The Securities and Exchange Commission (SEC) rules require registered advisers to adopt a code of ethics. This course explores the specific requirements dictated by the rules for an adviser’s code of ethics.

Students who successfully complete this course will be able to:

• understand the ties between ethics and your fiduciary obligations as an adviser
• describe the requirements surrounding adopting a written code of ethics
• discuss the consequences of failing to adopt and/or adhere to a written code of ethics

Investment Advisory, Institutional