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