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CII - R01
> 10 - Ethics > Flashcards
10 - Ethics Flashcards
(2 cards)
Study These Flashcards
1
Q
Ethics
Ethical Framework
A
Commitment - statements of values and codes of ethics
Leadership
Operational - policies, procedures and tool-kits for employees
Oversight - monitoring of progress
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2
Q
Ethics
Useful MI
A
Lapses/cancellations
Complaint volumes
File reviews
Business mix
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CII - R01
flashcards
Decks in class (9)
# Cards
2 - Retail Customers
50
3 - Legal Concepts
23
4 - Financial Services Regulation
18
5 - Regulation
43
6 - Regulatory Framework
41
7 - Regulatory Advice Framework
38
8 - Client Advising Skills
3
9 - Principles and Outcomes Regulation
12
10 - Ethics
2