IAR CE – Wisconsin DFI-Sec 5.06: Prohibited Conduct
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.
NASAA courses will be unavailable from December 28th, 2023 – January 1st, 2024, for year-end roster reporting.
IAR CE – Protecting Senior Clients from Financial Exploitation (C26346)
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.
NASAA courses will be unavailable from December 28th, 2023 – January 1st, 2024, for year-end roster reporting.
