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Ethics for Advisers – Part 1 and 2

July 14, 2021
2:00 PM - 4:00 PM CDT
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Course Description:

An adviser’s code of ethics reflects its fiduciary obligation to its clients. Discuss codes of ethics, and related policy issues and scenarios, and best practices for monitoring, testing, administering and enforcing these policies. This panel will discuss the protection of material nonpublic information (MNPI) and prevention of insider trading, whistleblower policy issues and scenarios, and best practices for monitoring, testing, administering and enforcing these policies.

This virtual course is being taught as part of the July Investment Adviser Professional Development Symposium.

After attending this session, attendees should be able to:

  • Recognize ethical dilemmas and conflicts of interest that can surface in servicing clients and how compliance, firm culture, and the Code of Ethics can influence decision-making
  • Identify how ethical considerations may vary among different members of a firm depending on the circumstances
  • Develop an understanding of the ethical challenges firm members face and how you can address these challenges in your ethics training initiatives

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For Whom: Designed to increase the professional competence of investment adviser professionals with legal, compliance and management responsibilities.

Suggested Skill Level: Intermediate

Instructional Method: Group Internet-Based

Pre-requisites for participation: No prerequisites are required. However, attendees can benefit by reviewing the Investment Advisers Act of 1940, especially Rule 204-2, to become familiar with the structure and terms, and sample SEC examination request lists.

Advance Preparation: None

NRS Continuing Education Guide
Maximum Recommended CPE Credit: 2 in the Regulatory Ethics field of study
Maximum Recommended IACCP® CE Credit: 2
Maximum Recommended CA MCLE Credit: 2