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Section I: Standards of Conduct in the Securities Industry 0/3
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Chapter 1: Standards of Conduct and Ethics 34 分钟课时1.1
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Chapter 2: Ethical Decision Making 43 分钟课时1.2
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Chapter 3: The Canadian Regulatory Framework 32 分钟课时1.3
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Section II: Dealing With Clients in the Securities Industry 0/6
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Chapter 4: Working With Clients 35 分钟课时2.1
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Chapter 5: Client Discovery and Account Opening 35 分钟课时2.2
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Chapter 6: Product Due Diligence, Recommendations, and Advice 35 分钟课时2.3
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Chapter 7: Trading, Settlement, and Prohibited Activities 41 分钟课时2.4
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Chapter 8: Maintaining Client Accounts and Relationships 41 分钟课时2.5
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Chapter 9: Putting it All Together 27 分钟课时2.6
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