Firm Element Code of Ethics for the Investment Advisory Firm

Code of Ethics for the Investment Advisory Firm

25.00 25.00

  • Course Delivery: On Demand
  • Duration: 1 

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This course is intended to provide the reader with an understanding of regulatory and firmbased requirements for ethical dealings between institutional clients, their registered representatives, and their broker/dealer. Items that will be presented in this material include:
- A meaningful summary of SEC Rule 204a-1
- Definition of covered persons under the Rule
- A comprehensive review of a standardized format sample IA Code of Ethics that is being used in the industry


Topics Covered

This course covers the following topics: Lesson 1: Introduction to Marketing Lesson 2: Marketing Research Lesson 3: The Consumer and the Market Lesson 4: Marketing Costs VS. Marketing Strategies Lesson 5: The Consumer as a Variable Lesson 6: Consumer Motivation Lesson 7: Product as a Variable Lesson 8: Product Planning Lesson 9: Product Identification and Consumer Response Lesson 10: Pricing and Pricing Theory Lesson 11: Pricing Patterns and Objectives Lesson 12: Pricing and Business Decisions Lesson 13: Promotional Decisions and Demand Stimulation Lesson 14: Advertising Lesson 15: Personal Selling and Sales Promotion Lesson 16: Sales Force Management Lesson 17: Retailing Lesson 18: Physical Distribution and Channel Selection: Part I Lesson 19: Physical Distribution and Channel Selection: Part II Lesson 20: The Channel Functions Lesson 21: Marketing Services Lesson 22: International Marketing Lesson 23: Marketing Information Systems and Packages Lesson 24: Implementing Interactive and Multi-channel Marketing



Subject Matter Expert

This course is created and brought to you by, Inc, a leading provider of accredited e-learning courses to working professionals through today's leading schools, associations and corporations. high quality e-learning courses assist thousands of working professionals each month in a wide range of disciplines to succeed in today's marketplace, renew licenses, acquire certification or prepare for a new profession.

End of Course Instructions

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Quiz Information

You will not be required to pass the quizzes to move on to the next lesson.


You will be required to pass the final exam with a 70% in order to receive course credit.

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