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Lesson 1: Overview of Know Your Product and Product Due Diligence

Topics covered in this chapter are:

  • Introduction
  • Setting the Scene
  • Regulatory Initiatives
  • Relationship between KYP, KYC, and Suitability
  • Managed and Structured Products
  • Summary
  • Reflective Questions – Responses

Lesson 2: Know Your Product and Product Due Diligence Requirements 

Topics covered in this chapter are:

  • Introduction
  • Firm and Individual KYP Requirements
  • Know Your Product
  • Asking the Right Questions
  • Summary
  • Reflective Questions – Responses

Lesson 3: Practical Considerations and Note Taking

Topics covered in this chapter are:

  • Introduction
  • Practical Considerations
  • Note Taking
  • Consequences of Noncompliance
  • Summary
  • Reflective Questions – Responses
  • Asking The Right Questions