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What will you learn about?

  • The importance of ethics and trust between clients and themselves
  • The implications of recent legislation regulating the sale and distribution of mutual funds
  • Various types of mutual funds and the features of their dealer’s and competing products
  • How to provide judicious client advice by aligning the merits and drawbacks of various mutual funds based on a client’s objectives and personal circumstances (Know Your Client rule)
  • Fees, purchase options and withdrawal options

What is the course syllabus?

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Chapter 1 - Ethics and the Sales Process

Topics covered in this chapter are:

  • Ethics
  • Mutual Fund Regulation

Chapter 2 - Client Advice and Product Knowledge

Topics covered in this chapter are:

  • Client Advice
  • Product Knowledge
  • In-house Procedures
  • Purchasing Mutual Funds

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