About
Learn about the importance of documentation or QI compliance
Level
Suitable for anyone who works in a financial institution with a basic understanding of securities trading
Presenter
Kirsty Pitkin
CEO
TConsult Ltd
Learning Outcomes
This course will help you to:
- Understand the importance of documentation to QI compliance
- Understand the difference between documentation and documentary evidence
- Understand how to use investor self declarations to reduce risk to your firm
- Understand how to validate investor self declarations
- Learn how to handle a client change of circumstances
- Learn how often you need to renew client documentation
- Learn what to do if you don’t have sufficient documentation
Assessment
Pass mark: 80%
Maximum 3 attempts
Estimated Time
20 minutes
