QI Essentials: Documentation

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Learn about the importance of documentation or QI compliance


Suitable for anyone who works in a financial institution with a basic understanding of securities trading


Kirsty Pitkin
TConsult Ltd

Learning Outcomes

This course will help you to:

  1. Understand the importance of documentation to QI compliance
  2. Understand the difference between documentation and documentary evidence 
  3. Understand how to use investor self declarations to reduce risk to your firm 
  4. Understand how to validate investor self declarations 
  5. Learn how to handle a client change of circumstances 
  6. Learn how often you need to renew client documentation 
  7. Learn what to do if you don’t have sufficient documentation 


Pass mark: 80%
Maximum 3 attempts

Estimated Time

20 minutes