* Price covers the $6 IAR CE reporting fee.

Course Description

"Mastering Ethical Communication" is a comprehensive course designed for investment advisers, covering essential ethical principles, regulatory compliance, and communication strategies. Learn to build trust, avoid misleading statements, disclose risks effectively, and tailor advice to meet your clients' unique financial needs and goals.

Difficulty Level: Foundational

IAR CE: 2 credits in Ethics and Professional Responsibility (Course # C27331)

CFP CE: 2 hours in General CE (Course # 332384)

Year Released: 2025

In today's complex financial landscape, ethical communication is more important than ever for investment advisers. "Mastering Ethical Communication" is a comprehensive course designed to equip financial professionals with the knowledge and skills necessary to build trust, ensure regulatory compliance, and deliver client-centered advice. This self-study course covers essential topics, including key regulatory frameworks, principles of ethical communication, and practical strategies for clear and transparent client engagement.

Throughout the course, you will explore the laws and regulations that govern the financial advisory industry, such as SEC regulations, FINRA rules, and the Investment Advisers Act of 1940. You will also delve into core ethical principles, including honesty, transparency, and confidentiality, all of which are essential for maintaining client trust and upholding your fiduciary duty. Additionally, you will learn how to effectively communicate complex financial information by using plain language, avoiding misleading statements, properly disclosing risks, and ensuring that your advice is suitable for each client's unique needs and circumstances.

By the end of the course, you will be equipped with practical strategies to enhance your communication skills, maintain compliance with ethical standards, and foster stronger, trust-based relationships with your clients. This course is ideal for both new and experienced investment advisers who are committed to ethical excellence and continuous professional development.

Course curriculum

    1. Course Instructions

    2. FINRA Reporting

    1. Relevant Laws and Regulations: Securities and Exchange Commission (SEC) Regulations

    2. Relevant Laws and Regulations: Financial Industry Regulatory Authority (FINRA) Rules

    3. Relevant Laws and Regulations: Investment Advisers Act of 1940

    4. Module 1 Quiz

    1. Honesty and Integrity - The Need for Truthfulness in All Communications

    2. Transparency - The Importance of Providing Clear and Complete Information

    3. Confidentiality - Safeguarding Client Information and Respecting Privacy

    4. Fair Dealing - Treating All Clients Fairly and Without Bias

    5. Module 2 Quiz

    1. Clarity and Understandability - Using Plain Language and Avoiding Jargon

    2. Avoiding Misleading Statements - Ensuring All Information is Accurate and Not Deceptive

    3. Proper Disclosure of Risks

    4. Suitability of Advice

    5. Module 3 Quiz

    1. Summary of Key Takeaways from the Course

    2. Course Survey

    1. Final Assessment

About this course

  • $19.90
  • 19 lessons
  • IAR CE 2 Credits in Ethics and Professional Responsibility
  • $6 IAR CE reporting fee included

Course Learning Objectives

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

Accurately identify and explain the key regulatory requirements (SEC, FINRA, and the Investment Advisers Act of 1940) governing ethical communication in financial advisory services.

Demonstrate the ability to provide accurate, clear, and comprehensive risk disclosures that meet compliance standards for all client communications.

Articulate and apply the principles of honesty and transparency in client interactions without using misleading statements.

Correctly identify situations where confidentiality is legally and ethically required and demonstrate how to safeguard client information.

Avoid the use of technical jargon or misleading statements in client communications, ensuring clarity and client understanding.

Able to effectively communicate the potential risks and rewards of investment strategies in plain language, providing risk disclosures that are accurate and complete.

Able to tailor communication strategies to meet the unique needs and financial literacy levels of clients, ensuring that their advice is understood and actionable.

These objectives are designed to ensure that participants not only understand the principles of ethical communication but are also able to apply them in real-world financial advisory settings with a high degree of accuracy and professionalism.

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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