QI Essentials: Overview and Context

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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:

  1. Gain a high level understanding of the qualified intermediary regime
  2. Understand the differences between qualified and non-qualified intermediaries
  3. Explain why a financial institution might become a qualified intermediary
  4. Become familiar with the language used in U.S. regulatory landscape
  5. Understand the operational and governance issues associated with becoming a qualified intermediary

Assessment

Pass mark: 80%
Maximum 3 attempts

Estimated Time

30 minutes