Chapter 2 Registrant Responsibilites Flashcards
1
Q
Standards of conduct to which you and meme bets of your group are expected to adhere
A
Ethics
2
Q
When you are expected to:
- Deal fairly, honestly and in good faith with clients
- Observe high ethical standards and conduct in business dealing
- Refrain from engaging in unbecoming business conduct
- Avoid detrimental to the public interest
A
MFDA Rule 2.1.1
3
Q
Meaning of COO
A
Chief compliance officer
4
Q
Meaning of CRM
A
Client Relationship Model
5
Q
When there is a financial interest in favour of a dealing rep which might influence his of her behaviour in a client interaction
A
Conflict of interest
