Sales & Investment Advice UK
In this course, you will learn about the Sales & Investment Advice rules UK.
90 min (1.5 CPD)
90 min (1.5 CPD)
What's included?
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36 Chapters
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2 Videos
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21 Questions
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1 Assesment
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1 Certification
Learning Objectives
This course will prepare you to:
- Understand the Regulatory Framework for Client Communications
- Identify and Avoid Misleading Communications
- Apply the Rules on Investment Performance Presentation
- Comply with the Financial Promotions Approver Regime and Social Media Rules
- Understand the Boundaries of Investment Advice
- Apply Systems, Controls and Record-Keeping Requirements
Accreditation and CPD Recognition
The syllabus is verified by external subject matter experts and can be accredited by regulators and other bodies for 1.5 CPD Unit that approve education in financial regulation.
Course Content
Meet the instructor
Christos Drakos
Christos Drakos is a certified trainer by the HRDA (No. ΣΕΠ003951) since 2020 as well as a certified financial services professional holding both the CySEC Advanced and Anti Money Laundering certificates (No.5134).
Christos has extensive experience in Risk Management, Compliance and AML and currently serves as an Executive Director in a Crypto Asset Service Provider and holds various Non-Executive Directorships in Investment Firms and Funds.
Moreover, he is a certified ACCA member (ID 2899022).