* Price covers the $9 IAR CE reporting fee.

Course Description

This comprehensive course equips investment advisory professionals with the knowledge and tools to develop and implement a robust Code of Ethics. It covers ethical decision-making, core principles, and practical strategies to foster an ethical culture and ensure compliance within their organizations.

Difficulty Level: Foundational

IAR CE: 3 credits in Ethics and Professional Responsibility (Course # C27334)

CFP CE: 3 hours in General CE (Course # 332381)

Year Released: 2025

Unlock the potential to transform your investment advisory practice with our in-depth course on "Developing Code of Ethics." This program is designed for investment professionals seeking to elevate their firm's ethical standards and foster a culture of integrity. Over the span of the course, you will gain comprehensive knowledge on crafting a robust Code of Ethics aligned with your organization's values and mission. Dive deep into ethical decision-making, explore core principles such as integrity, objectivity, and confidentiality, and learn effective strategies for communicating and enforcing ethical standards internally.

By engaging with practical modules that cover stakeholder involvement, customization of ethical codes, and the implementation of compliance systems, you'll acquire the tools to navigate complex ethical dilemmas confidently. The course also emphasizes the importance of training programs, monitoring mechanisms, and leadership's role in setting the ethical tone. Upon completion, you will be equipped to lead initiatives that not only ensure compliance with regulatory requirements but also enhance client trust and contribute to the long-term success and reputation of your firm in the competitive investment advisory industry.

Course curriculum

    1. Course Instructions

    2. FINRA Reporting

    1. Importance of Ethics in the Financial Industry

    2. Definitions and Key Concepts

    3. Historical Perspective

    4. Module 1 Quiz

    1. Securities and Exchange Commission (SEC) Guidelines

    2. State Regulations

    3. Other Regulatory Bodies

    4. Module 2 Quiz

    1. Integrity and Honesty

    2. Objectivity and Independence

    3. Confidentiality

    4. Professional Competence

    5. Fair Dealing

    6. Module 3 Quiz

    1. Purpose and Objectives

    2. Key Components

    3. Customization

    4. Module 4 Quiz

    1. Communication Strategies

    2. Training Programs

    3. Compliance Systems

    4. Module 5 Quiz

About this course

  • $29.85
  • 27 lessons
  • IAR CE 3 Credits in Ethics and Professional Responsibility
  • $9 IAR CE reporting fee included

Course Learning Objectives

By the end of this course, participants will be able to:

Define the core principles of ethical conduct in investment advising—such as integrity, objectivity, confidentiality, professional competence, and fair dealing—and explain their importance in professional practice.

Analyze ethical dilemmas using established decision-making models, applying these frameworks to real-world scenarios to determine appropriate courses of action.

Develop a comprehensive Code of Ethics tailored to the firm's size, services, and client demographics, ensuring alignment with organizational values and mission.

Engage stakeholders, including employees and management, in the development process of the Code of Ethics to foster ownership and enhance its effectiveness.

Implement effective communication strategies to disseminate the Code of Ethics internally, ensuring all employees understand the ethical standards and expectations.

Design and conduct training programs that educate employees on ethical standards, decision-making, and compliance requirements, utilizing various training methods to accommodate different learning styles.

Establish compliance systems with monitoring and reporting mechanisms to detect, prevent, and address ethical violations within the organization.

Develop enforcement procedures that handle violations of the Code of Ethics consistently and fairly, including clear disciplinary actions and remediation plans.

Integrate ethical considerations into organizational processes, such as performance appraisals and daily operations, to reinforce an ethical culture throughout the firm.

Evaluate the effectiveness of the organization's Code of Ethics and compliance systems, making necessary adjustments based on feedback, assessments, and regulations or changes to industry standards.

According to NASAA guidelines, to successfully complete the course, you must achieve a score of at least 70% on the final assessment. You have up to three attempts to reach this score. If you do not pass after three attempts, you will need to retake the entire course before you can try the assessment again.

Course Instructions

NASAA does not endorse any particular provider of CE courses. The content of the course and any views expressed are my/our own and do not necessarily reflect the views of NASAA or any of its member jurisdictions.

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