About
Get an overview of the governance requirements for qualified intermediaries.
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 purpose of the governance measures included in the QI Agreement
- Understand the importance of controls and how to implement them in your firm
- Understand how the IRS gains oversight of your compliance with the QI Agreement
- Understand how the IRS classifies compliance issues as either Events of Default or Material Failures
- Understand the enforcement measures available to the IRS when things go wrong
Assessment
Pass mark: 80%
Maximum 3 attempts
Estimated Time
30 minutes
