CPT Courses - Cambridge Advisers

1 CPT hour English · 繁體中文

Recognise common financial-crime red flags, apply escalation procedures and document decisions clearly.

For all LRs & ROsAML

1 CPT hour English

Understand common cyber threats, staff responsibilities, incident escalation and secure handling of client information.

For all LRs & ROsCybersecurity

1 CPT hour English · 繁體中文

Learn the core conduct principles that shape client dealings, conflicts, disclosures and professional behaviour.

For all LRs & ROsCode of Conduct

1 CPT hour English

Apply key compliance controls to portfolio management, client mandates, supervision and day-to-day fund operations.

For fund managersCompliance

1 CPT hour English

Clarify senior management responsibilities for governance, delegation, oversight, escalation and evidence of reasonable supervision.

For rOs & senior managersGovernance

1 CPT hour English · 繁體中文

Use a practical decision framework to identify ethical issues, manage conflicts and choose defensible actions.

For all LRs & ROsEthics

1 CPT hour English

Assess client needs and risk, match products appropriately, document recommendations and identify escalation points.

For all LRs & ROsSuitability

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