Ethics, rules of conduct and professionalism Level Two

Question 1

How do you ensure that you comply with bribery legislation?

Question 2

How do you ensure you comply with money laundering regulations?

Question 3

How do you ensure you comply with your firm’s bribery and gifts policy?

Question 4

Tell me about an instance of when you have been offered a gift or hosptality by client

Question 5

Tell me about what you would do if you felt that an instruction was outside your scope of experience or knowledge.

Question 6

Tell me about an instance of when you have handled client’s money.

Question 7

How would you keep client’s money securely and safely held?

Question 8

Tell me about how you would handle a client complaint.

Question 9

Tell me about your understanding of your firm’s process for escalating a complaint to Alternative Dispute Resolution (ADR).

Question 10

Tell me about a conflict of interest check you have carried out.