Firm Element Know Your Customer

Know Your Customer

25.00 25.00
$25.00
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  • Course Delivery: On Demand
  • Duration: 1 

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Description

Within the securities industry, the concept of 'suitability' is a fundamental business operation principle. The foundation of suitability requires that a registered representative have a reasonable basis for making investment recommendations to a client. These recommendations must be based upon the client-provided personal and financial information, such as the client's risk tolerance, financial situation, investment objectives, investment time horizon, and investment sophistication.

 

Prerequisites

n/a

 

End of Course Instructions

Congratulations! You have successfully completed your online course; you may now print your certificate(s) online from your default login page (you may need to refresh this page)

 

Quiz Information

You will not be required to pass the quizzes to move on to the next lesson.

 

Exams

You will be required to pass the final exam with a 70% in order to receive course credit.

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