Course curriculum

  • 1

    What to expect . . .

    • 3S | Swift | Streamlined | Sophisticated
  • 2

    Ethics | Course Content

    • Ethics | Intro

    • Requirements | Ethics History

    • Ethics Obligations

    • Structure of Industry

    • License Obligations

    • Equitable Fashion

    • Interactive Information

    • Establishing Effective Systems & Controls

    • Internal Controls | Assessing Financials of Customers

    • Due Diligence | KYC

    • Mandatory Risk Disclosures

    • Conflicts | Handling | Disclosing | Managing

  • 3

    Quiz | Certificate of Completion

    • Essential Elements

    • Quiz - Ethics

    • Continuing Education

    • Authentication | Ethics