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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Topics covered in this chapter are:
- Ethics
- Mutual Fund Regulation
Topics covered in this chapter are:
- Client Advice
- Product Knowledge and Administration
- In-house Procedures
- Purchasing Mutual Funds