Module

Regulation, major laws and compliance

The licensing, independence, client-money, confidentiality, and AML rules that govern practice.

5 lessons • 750 XP available

Lessons

1
The regulators who license your right to practice

Identify the regulators who license your right to practice.

+150 XP
2
Independence rules and the conflicts that can sink a deal

Apply independence rules and spot conflicts that sink deals.

+150 XP
3
Client money, trust accounts, and the rules that make or break a license

Handle client money and trust accounts within the rules.

+150 XP
4
Privilege, confidentiality, and what you're legally forced to disclose

Know privilege, confidentiality, and mandatory disclosure limits.

+150 XP
5
Anti-money-laundering and sanctions rules reshaping client onboarding

Apply AML and sanctions rules during client onboarding.

+150 XP