Marketing with Integrity
Mastering Compliance and Ethics in Financial Advisory Marketing: Navigating Regulations and Building Trust
* Price covers the $3 IAR CE reporting fee.
This specialized course offers investment advisers a profound understanding of the key compliance regulations and ethical practices that are fundamental to the financial industry. Delivered through detailed modules, participants will explore the stringent regulatory frameworks enforced by agencies such as the SEC and FINRA, and understand how these regulations impact their daily marketing activities. The course is structured to provide a thorough grounding in the legalities of financial marketing and the ethical considerations that must be managed to maintain trust and integrity in client relationships.
Beyond mere compliance, this course delves into practical strategies for developing marketing materials that adhere to legal standards while effectively communicating the value of financial services. Each session is designed to foster a deep, actionable understanding of how to integrate ethics into marketing strategies, ensuring that all promotional activities uphold the highest standards of honesty and transparency. Participants will leave the course equipped to navigate the complexities of financial marketing with confidence and a strong ethical foundation.
Our course is designed as a text-based, self-paced learning experience. You have the flexibility to start, pause, and resume the course at your convenience without the need to adhere to a specific schedule. This format allows you to integrate your learning seamlessly into your busy schedule, ensuring you can proceed at a pace that suits your individual needs.
Difficulty Level: Foundational
IAR CE: 1 credit in Ethics and Professional Responsibility
CFP CE: 1 hour in General CE
Upon completing this course, participants will be able to:
Course Instructions
Introduction to Marketing for Investment Advisory Representatives
Importance of Ethics in Financial Marketing
Introduction to Financial Marketing Regulations
Analysis of the New Marketing Rule
Compliance Requirements for Investment Advisory Representatives
Quiz: Module 1 - Overview of Marketing Rules and Regulations
Transparency and Honesty in Marketing Materials
Handling Testimonials and Endorsements
Case Study: Ethical Dilemma of Disclosing Non-Financial Relationships in Endorsements
Managing Conflicts of Interest
Social Media and Electronic Communications
Case Study: Navigating Ethical Dilemmas in Social Media
Quiz: Module 2 - Ethical Considerations in Marketing
Understanding Marketing Compliance in Everyday Practice
Ethical Practices in Investment Advisory Marketing
Developing Compliant Marketing Materials
Quiz: Module 3 - Practical Implications for Investment Advisers
Summary of Key Learnings
Further Resources and Reading
Course Survey
Final Assessment
Upon successful completion of this course, participants will achieve several key outcomes that demonstrate their proficiency in navigating the regulatory and ethical landscapes of financial advisory marketing. These outcomes are designed to enhance their professional capabilities and ensure their practices align with industry standards and client expectations.
By achieving these outcomes, participants will not only enhance their own professional competencies but also contribute positively to the reputation and success of their organizations in the competitive financial advisory market.
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.
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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