Investment Adviser Code of Ethics


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. Please note this course does not meet the requirements of the NASAA IAR CE Model Rule that has been adopted by multiple states. This course does meet Firm Element requirements. 

Learning Objectives

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

Designed For

Investment Advisory, Institutional

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