FINRA: Privacy Considerations: Conducting Business with Institutional Clients

Overview

This course addresses two distinct privacy considerations that institutional sales representatives may encounter in their day-to-day business activities: the importance of protecting private client information and the need to maintain confidentiality when suspicious activity is encountered. Activities and case studies provide opportunities to explore and reinforce how to apply core concepts.

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License or Certification 

 

Regulator 

 

Type 

 


Objectives

  • understand the importance of protecting private client information
  • understand the need to maintain confidentiality when suspicious activity is encountered

Designed For:

Institutional




Course Information

Adding additional credit may change exam requirements.