Know Your Customer and Suitability Requirements

Overview

This course provides an overview of the requirements that every registered representative know their customer and that all products, services, recommendations, and strategies are suitable for the client.

Learning Objectives

Students who successfully complete this course will be able to:

  • understand the “know your customer” rules
  • understand the suitability rules
  • understand the supervisory controls required to monitor compliance with these rules

Designed for

Retail representatives and principals

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