IAR CE

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.

Summary Details

Hours

1.0

Price

$15.95







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.

Access Period: 12 months
Prerequisites: None
Delivery Method: Self-Study
PDF Download: Available
Course Approval Number: C27446
Provider of Record: WebCE
Provider Number: 90082
Last Reviewed: December 2024
Study Level: Intermediate
Approved For: Ethics and Professional Responsibility

Exam

Proctor: No
Passing Grade: 70
Questions: 10
Retakes: 3



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