Study Material:
sira academy - Study Guide 2
Study Guide 2, together with Practice Exam 4 prepares you for competence in the following RE5 Tasks:
Task 2: Contribute toward maintaining a FSP Licence
Task 4: Adhere to the Specific Codes of Conduct
Study Guide 2 Topics (for this practice exam)
12.Compliance Function
13.Code of Conduct: Definitions
14.Code of Conduct: Conflict of Interest
15.Code of Conduct: Requirements for FSPs regarding Custody of Funds
16.Code of Conduct: Advertising
17.Code of Conduct: Direct Marketing
18.The Requirements of the General Code of Conduct
19.Code of Conduct: Handling Complaints
20.Termination of Business Agreement
