Professional Refresher

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Please Note:

To pass a module you need to achieve 73% and you can take the test as many times as you like. Passing a Professional Refresher module will award you CISI CPD hours that will be recorded automatically on your CPD log.
Note: You will only gain CISI CPD time when you have successfully passed an end-of-module test.

Certain modules may also count towards your retail investment advisor gap-fill requirements.

Professional Refresher modules are reviewed regularly at least every six months and, in some cases every three months.

Professional Refresher is an educational product only and the Chartered Institute for Securities & Investment accepts no responsibility for persons undertaking trading or investments in whatever form. While every effort has been made to ensure its accuracy, no responsibility for loss occasioned to any person acting or refraining from action as a result of any material in this product can be accepted by the publisher or authors.

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Singapore: Vulnerable Clients Professional Refresher P211014NAD

Refreshed September 2021 | CPD time: 1

Vulnerable customers may be significantly less able to represent their own interests, and more likely to suffer harm than the average consumer. The recent FCA final guidance (FG21/01) on fair treatment for vulnerable customers indicated that 50% of the UK’s adult population is exhibit one or more characteristics of being potentially vulnerable. Over the course of this module, we will consider how vulnerable clients and financial planners interact in a way that demonstrates the best interest for the client.

1. Introduction

2. Identifying Vulnerability

3. Vulnerable Clients and the Sales Process

4. Treating Vulnerable Customers Fairly

5. Conclusion

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