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Use a practical decision framework to identify ethical issues, manage conflicts and choose defensible actions.
Assess client needs and risk, match products appropriately, document recommendations and identify escalation points.
Clarify senior management responsibilities for governance, delegation, oversight, escalation and evidence of reasonable supervision.
Apply key compliance controls to portfolio management, client mandates, supervision and day-to-day fund operations.
Understand common cyber threats, staff responsibilities, incident escalation and secure handling of client information.
Learn the core conduct principles that shape client dealings, conflicts, disclosures and professional behaviour.
Recognise common financial-crime red flags, apply escalation procedures and document decisions clearly.
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