Ethics, rules of conduct and professionalism L2 Flashcards
L2
How do you ensure that you comply with bribery legislation?
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How do you ensure you comply with money laundering regulations?
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How do you ensure you comply with your firm’s bribery and gifts policy?
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Tell me about an instance of when you have been offered a gift or hospitality by a client.
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Tell me about what you would do if you felt that an instruction was outside your scope of experience or knowledge.
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Tell me about an instance of when you have handled client’s money.
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How would you keep client’s money securely and safely held?
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Tell me about how you would handle a client complaint.
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Tell me about your understanding of your firm’s process for escalating a complaint to Alternative Dispute Resolution (ADR).
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Tell me about a conflict of interest check you have carried out.
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If you identified a potential or actual conflict of interest how could you handle this?
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How did you deal with the pressure from the installer?
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How did you apply the Rules of Conduct?
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How did you take responsibility in this scenario?
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Trafford – what red flags did you raise and why?
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