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Trading Compliance for Investment Representatives


Investment Representatives are sometimes challenged by clients when limit orders are not filled or are only partially filled, or when market orders are filled at what appear to be inferior prices. Add to this the increasingly complex order types offered by order-execution-only firms, market structure innovations, and 24/7 media coverage and IRs are often confronted with clients who question whether they have been unfairly treated. Such attitudes undermine confidence in capital markets. Thus, it is incumbent on IRs to understand and clearly communicate market mechanics and the rules most relevant to retail clients.

Who Should Enrol?

Trading Compliance for Investment Representatives is designed for financial services professionals including Investment Representatives and compliance personnel. It is recommended for individuals who are subject to CE compliance requirements, and for professional development.