Chapter 5 Flashcards Preview

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Flashcards in Chapter 5 Deck (8)
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1

Ch5
A

Know your product (KYP) and suitability

2

Ch5
B

Rules of conduct

3

Ch5
C

Principal vs agency transactions

4

Ch5
D

Account activity and money laundering red flags

5

Ch5
E

Account activity and money laundering red flags

6

Ch5
F

Dealing with confidential information

7

Ch5
G

Commisions and other compensation

8

Ch5
H

Personal financial dealings