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