We continue our ‘Code of Conduct’ microlearning course – available on the Learn@IBF platform – with module five, which covers the topics of ‘Know Your Client’ (KYC) and ‘Conflict of Interest’.
This module goes through the importance of conducting KYC on a client, to provide appropriate advice and to comply with regulations. It provides the general expectations and guidance on KYC, as set down in the MAS Standards of Conduct. It also discusses the risks of Conflict of Interest, and how to avoid or deal with such situations.
If you are interested in taking the full ‘Code of Conduct – Holding Yourself Accountable’ course for 1 SFA/FAA CPD hour, please visit: Code of Conduct (This course is subsidised under the IBF-FTS funding scheme.)