Module 5: Customer Accounts
This course provides a detailed understanding of customer accounts in the securities industry. It equips you with the knowledge required to manage various types of accounts while adhering to regulatory guidelines and best practices.
- Account Types and Features: Learn the differences between individual, joint, retirement, and custodial accounts, along with their specific features and requirements.
- Opening and Managing Accounts: Explore the processes involved in opening, maintaining, and updating customer accounts, ensuring compliance with industry standards.
- Regulations and Client Relations: Understand the regulatory environment governing customer accounts and how to maintain strong, compliant relationships with clients.
This course is ideal for professionals managing customer accounts, ensuring they have the skills to efficiently and effectively serve their clients while meeting regulatory obligations.
Model 5 covers the essentials of Customer Accounts, from opening new accounts and managing discretionary accounts to handling custodial and special...
Membership