We deliver interactive eLearning courses for the RIA industry, covering annual training, CE for IARs, and HR compliance. Our Compliance Library equips professionals with tools to build effective programs. Simplify and enhance compliance with Corporate Nerd.
This course equips RIAs and employees with essential SEC regulation knowledge, covering cybersecurity, ethics, and trading. Interactive modules enhance engagement, with attestations ready for annual audits.
This guide simplifies RIA regulations through interactive modules on ethics, AML, cybersecurity, and insider trading. With real-world examples and accountability tools, it empowers compliance teams to foster integrity and make confident, ethical decisions.
Corporate Nerd collaborates with WebCE to provide CE courses for IARs, meeting RIA standards. These programs ensure compliance while sharpening professional skills, delivering targeted training to keep financial experts informed and competitive.
The SEC’s 2025 priorities highlight fiduciary duties, AI integration, cybersecurity, private funds, and crypto risks. They also emphasize compliance for dual registrants, unexamined advisers, and vendor management. Corporate Nerd provides tailored training to help RIAs align with these priorities and stay compliant.
Ensures compliance with employment laws, workplace safety, and DEI, covering anti-discrimination, harassment, and wage laws. This mandated training protects against legal risks while fostering an inclusive and ethical workplace.
Corporate Nerd’s compliance courses for RIAs cover key topics like the Advisers Act of 1940, fiduciary duties, AML, and cybersecurity. With guidance on Form ADV and annual reviews, these courses help firms stay SEC-compliant and build a culture of integrity.
The RIA Compliance Foundations curriculum provides a robust and practical understanding of the key regulatory and ethical frameworks essential to the success and integrity of Registered Investment Advisors (RIAs). The four foundational courses were chosen because they address the cornerstone responsibilities and legal requirements of the profession.
This course offers a thorough overview of the Investment Advisers Act of 1940, covering key compliance requirements, fiduciary duties, and the legal framework for RIAs. It also clarifies the distinctions between RIA obligations and those of brokers, mutual funds, and securities trading.
This course explores the fiduciary responsibilities of RIAs, emphasizing loyalty, care, and SEC compliance. Aimed at compliance officers and advisers, it covers managing conflicts of interest and aligning practices with ethical standards. Participants will enhance client trust, ensure transparency, and mitigate legal risks, reinforcing the integrity of advisory services.
This course empowers compliance officers to understand insider trading laws and prevention strategies. Participants learn to recognize material non-public information, identify red flags, and define firm responsibilities. Through case studies, they gain practical insights into violations, internal controls, and effective training programs to uphold ethical standards and accountability.
This course guides RIAs in mastering cybersecurity and data protection, offering strategies to identify threats, build robust programs, protect client data, ensure SEC compliance, and reduce digital risks.
Be the first to experience Corporate Nerd’s innovative compliance training solutions. Enjoy early access, premium support, and the chance to shape the future. Join us today!
