About
Get an introduction to the qualified intermediary regime and learn why you might consider becoming a QI
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:
- Gain a high level understanding of the qualified intermediary regime
- Understand the differences between qualified and non-qualified intermediaries
- Explain why a financial institution might become a qualified intermediary
- Become familiar with the language used in U.S. regulatory landscape
- Understand the operational and governance issues associated with becoming a qualified intermediary
Assessment
Pass mark: 80%
Maximum 3 attempts
Estimated Time
30 minutes
Content
Welcome
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The U.S. regulatory landscape
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Chapter 3 and 4 language
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Nonqualified intermediary status
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Qualified intermediary status
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Governance as a QI
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Operations as a QI
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Summary
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Course handout
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Final assessment
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