IAR CE – Managing Your Investment Advisory Business (C27222) (1 credit of Products & Practice)
Course Description: For an investment adviser to be successful, the owner needs to be competent in handling the business aspects as well as the regulatory requirements of a state-registered investment adviser. Divided into four sections, this course provides a discussion of business filings and records, compliance and registration functions, business management and operations, and finally, some of the investment adviser resources available to investment advisers.
Upon registering for this course, you will be charged a non-refundable $3 reporting fee.
After successfully passing the course assessment, this course will grant the IAR one credit of Products & Practice.
IAR CE – They’re Coming to Conduct an Exam (C26877) (1 credit of Ethics)
Course Description: This course provides an overview of the procedures and objectives of a Wisconsin Division of Securities examination of a state-registered investment adviser. It also covers common exam deficiencies and how to avoid them, as well as general tips for making your examination go as smoothly as possible.
Upon registering for this course, you will be charged a non-refundable $3 reporting fee.
After successfully passing the course assessment, this course will grant the IAR one credit of Ethics and Professional Responsibility credit.
IAR CE – Wisconsin DFI-Sec 5.06: Prohibited Conduct (C25931) (1 credit of Ethics)
Course description: In this course, we will cover Wisconsin Administrative Code section DFI-Sec 5.06 Prohibited Conduct. We’ll discuss the need for ethics in investment advising, as well as conduct that is prohibited under DFI-Sec 5.06, the impact of prohibited conduct on investment advisers and clients, and using case examples, some of the specific situations or practices that violate this regulation.
Upon registering for this course, you will be charged a non-refundable $3 reporting fee.
After successfully passing the course assessment, this course will grant the IAR one credit of Ethics and Professional Responsibility credit.
IAR CE – Protecting Senior Clients from Financial Exploitation (C26346) (2 credits of Ethics)
Course description: This course provides an overview of financial exploitation for investment advisers: what it is, why seniors are so often targeted, common risk factors, perpetrator tactics, and financial exploitation’s effects on the victim. The course also outlines a number of steps advisers can take to detect and prevent financial abuse and help safeguard their clients’ futures.
Upon registering for this course, you will be charged a non-refundable $6 reporting fee.
After successfully passing the course assessment, this course will grant the IAR two credits of Ethics and Professional Responsibility credit.
