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.