Exam (elaborations)
CPH Exam questions with correct answers
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What does suitability mean for recommendations? - Correct Answer-It means ensuring all recommendations: - Take into account the client' s unique circumstances and investment objectives - Are based on the adviser's understanding of the client's personal and financial situation, as well as knowledge of the various available investment options What does the KYC rule state? When must it be done? - Correct Answer-States that an advisor must use due diligence to learn the essential facts relevant to every client and every dollar It must be done each time: 1) A trade is accepted 2) a recommendation is made by the brokerage
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Institution
CPH - Certified In Public Health
Course
CPH - Certified in Public Health
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Written for
- Institution
- CPH - Certified in Public Health
- Course
- CPH - Certified in Public Health
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- Uploaded on
- February 18, 2024
- Number of pages
- 68
- Written in
- 2023/2024
- Type
- Exam (elaborations)
- Contains
- Questions & answers
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cph exam questions with correct answers
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