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Chapter 9: Putting it All Together

In this section

  • 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.
  • 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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Chapter 8: Maintaining Client Accounts and Relationships