Ethics & Professional Responsibility: Duty of Care When Providing Investment Advice

Description

This course is designed to help investment adviser representatives, supervisory principals, compliance professionals, and firm executives understand the duty of care of an investment adviser registered with the U.S. Securities and Exchange Commission (“SEC”) as it relates to providing investment advice and recommendations. The speaker will review the components of the duty of care and specific examles of what constitutes failure to exercise duty of care. This course has been approved to provide 1 IAR CE credit in the Ethics & Professional Responsibility Category.