Chapter 9: Putting it All Together
In this section
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Review of Good Conduct and Practices
A comprehensive review of ethical standards, regulatory compliance, and professional conduct principles that guide financial professionals in building trusted client relationships and mitigating risks.
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Case Study: The Chengs' Accounts
Explore how to apply core regulatory and ethical principles to a real-life client scenario, focusing on the Cheng family’s financial goals, risk tolerance, product due diligence, client communications, and ongoing account management.
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