Ethics, Rules of Conduct and Professionalism Level 2 Flashcards
How do you ensure that you comply with bribery legislation?
How do you ensure you comply with money laundering regulations?
How do you ensure you comply with your firm’s bribery and gifts policy?
Tell me about an instance of when you have been offered a gift or hospitality by a client.
Tell me about what you would do if you felt that an instruction was outside your scope of experience or knowledge.
Tell me about an instance of when you have handled client’s money.
How would you keep client’s money securely and safely held?
Tell me about how you would handle a client complaint.
Tell me about your understanding of your firm’s process for escalating a complaint to Alternative Dispute Resolution (ADR).
Tell me about a conflict of interest check you have carried out.
If you identified a potential or actual conflict of interest, how could you handle this?
If you identified a potential or actual conflict of interest, how could you handle this?
Why is it important to act within your scope of experience?
How did you apply Rules 1 and 2?
