Obligations légales et administratives du courtier - Partie 2
Info
Speaker: Lorenzo Stipulante
Objective:
This training session (Part 2) aims to familiarize attendees with the specific legal and administrative obligations that brokers face. It seeks to provide a deep understanding of recent regulations and best practices in these areas to enhance compliance and professionalism in brokerage activities.
Content:
The second part of the training includes an in-depth exploration of the legal and administrative obligations specific to brokers, such as professional secrecy, compliance with international contracts, prevention of money laundering and terrorism financing, as well as product governance.
Attendees will gain a detailed understanding of recent regulations and best practices, with concrete case studies and interactive discussions designed to enhance their learning experience.
Topics Covered:
- Legal obligations of brokers
- Respect for professional secrecy
- Compliance with international contracts
- Prevention of money laundering and terrorism financing
- Governance of financial products
- Recent regulations
- Best practices
- Concrete case studies
Certification:
A training certificate will be issued, provided that the knowledge test is completed and submitted between the beginning of the session and 2:00 PM.
When
Where
Entrance
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