Speaker : Lorenzo Stipulante
Objectives :
The objectives of this training (Part 2) are to familiarize participants with the specific legal and administrative obligations of brokers. It aims to provide participants with a thorough understanding of recent regulations and best practices in these areas, in order to enhance their compliance and professionalism in their brokerage activities.
Content :
This second part of the training includes a thorough exploration of the specific legal and administrative obligations of brokers, such as confidentiality, compliance with international contracts, prevention of money laundering and terrorism financing, as well as product governance. Participants will gain a detailed understanding of recent regulations and best practices in these areas, with concrete case studies and interactive discussions to enhance their learning.
Points covered :
- Legal obligations of brokers
- Respect of professional secrecy
- Compliance with international contracts
- Prevention of money laundering and terrorism financing
- Governance of financial products
- Recent regulations
- Best practices
- Concrete case studies
