IAR CE course · NASAA Course ID C82482

Ethical Governance and Client Protection for Investment Adviser Representatives: 26.1

Name: Ethical Governance and Client Protection for Investment Adviser Representatives: 26.1
Price: 49.00 USD

Ethics and Professional Responsibility · 6 IAR CE credits · Text-Only, On Demand · Advanced

Examine client protection when organizational incentives, divided authority and uncertain evidence complicate professional judgment. Hypothetical cases cover escalation, exploitation, boundaries, complaints, remediation and ethical supervision.

What you will be able to do

Select accountable escalation and supervisory responses grounded in evidence and appropriate authority.
Evaluate contested instructions, possible exploitation and professional boundaries while preserving client participation.
Select fair investigation, communication and authorized remedies for complaints and established errors.

Course facts

Course ID: C82482 (internal label 26.1)
Credits: 6 IAR CE credits
Content area: Ethics and Professional Responsibility
Format: Text-Only, On Demand, self-paced
Price: $49, required reporting fees included, plus applicable tax shown before payment
Pair price: $89 with Portfolio Implementation and Ongoing Practice (C82483), purchased together: 12 credits
Access: 90 days from confirmed payment

Enroll

Enroll in Ethical Governance and Client Protection

$49 for this six-credit course, or $89 when purchased with Portfolio Implementation and Ongoing Practice. You create or sign in to your student account, review the terms and pay securely online.

Enroll in this course Enroll in the $89 pair Read a free sample section

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