Business Ethics for Financial Professionals - Part 4
schedule
1h 7m
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Mid-level
category
Investment Management
verified
24 credits available
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About This Course
This live CPE webinar offers practical and actionable coverage of business ethics for financial professionals - part 4.
Participants will gain a deep understanding of the fundamental concepts, current best practices, and emerging trends in this area. The program addresses real-world challenges practitioners face and provides concrete strategies for handling common situations effectively.
Specifically designed for investment management professionals, this course covers both foundational principles and advanced applications. Through clear explanations and practical examples, you will develop the skills needed to confidently navigate complex issues and deliver superior results for your clients or organization.
Key topics include regulatory requirements, compliance considerations, strategic decision-making, and risk management. Whether you are new to this area or looking to update your knowledge, this program provides the insights and tools necessary for success in today's evolving professional landscape.
Participants will gain a deep understanding of the fundamental concepts, current best practices, and emerging trends in this area. The program addresses real-world challenges practitioners face and provides concrete strategies for handling common situations effectively.
Specifically designed for investment management professionals, this course covers both foundational principles and advanced applications. Through clear explanations and practical examples, you will develop the skills needed to confidently navigate complex issues and deliver superior results for your clients or organization.
Key topics include regulatory requirements, compliance considerations, strategic decision-making, and risk management. Whether you are new to this area or looking to update your knowledge, this program provides the insights and tools necessary for success in today's evolving professional landscape.
Presented By
DA
David A. Chen open_in_new
Of Counsel • Latham & Watkins LLP
Mr. Chen specializes in intellectual property litigation and licensing, with particular expertise in patent disputes.
Credits & Accreditations
| Jurisdiction | Credit Type | Credits |
|---|---|---|
| Alabama | General | 1.5 |
| Alaska | General | 1.0 |
| California | General | 1.0 |
| District of Columbia | Diversity | 3.0 |
| Georgia | General | 2.5 |
| Illinois | General | 3.0 |
| Indiana | Ethics | 1.5 |
| Iowa | General | 1.5 |
| Kentucky | General | 1.5 |
| Louisiana | General | 1.0 |
| Maryland | General | 3.0 |
| Massachusetts | Ethics | 3.5 |
| Michigan | General | 1.5 |
| Mississippi | General | 3.5 |
| Missouri | Ethics | 1.5 |
| Nevada | General | 3.0 |
| New York | General | 2.5 |
| North Carolina | General | 3.0 |
| Ohio | Ethics | 1.5 |
| Rhode Island | Ethics | 1.5 |
| South Dakota | General | 2.0 |
| Utah | General | 3.5 |
| Washington | General | 3.5 |
| Wyoming | General | 2.0 |
NASBA Details
Program Level
Mid-level
Prerequisites
None required
Delivery Method
Group Live
BARBRI, Inc. is registered with the National Association of State Boards of Accountancy (NASBA) as a sponsor of continuing professional education on the National Registry of CPE Sponsors. State boards of accountancy have final authority on the acceptance of individual courses for CPE credit.