QI Essentials: Governance

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Get an overview of the governance requirements for qualified intermediaries.


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 purpose of the governance measures included in the QI Agreement
  2. Understand the importance of controls and how to implement them in your firm
  3. Understand how the IRS gains oversight of your compliance with the QI Agreement
  4. Understand how the IRS classifies compliance issues as either Events of Default or Material Failures
  5. Understand the enforcement measures available to the IRS when things go wrong


Pass mark: 80%
Maximum 3 attempts

Estimated Time

30 minutes