Course Outline

Seat Time: 0.5hrs 

This course will introduce the learner to Non-Deposit Investment Products (NDIPs) and their purposes. The course will discuss general guidelines that must be followed for compliance to regulatory agencies. After completing tis program, the learner will understand:

• How to and why inform customers of the nature and risks associated with NDIPs.
• Nature of disclosures.
• Making arrangements with third parties.

Course Topics

T1. Non-Deposit Investment Products: This topic will introduce the learner to informing customers of the nature and risks associated with Non-Deposit Investment Products (NDIPs), sales program management, and arrangements with third parties.

T2. General Guidelines: This topic will introduce the learner to regulatory agency guidelines for compliance, disclosures, timing of disclosures, and suitability and sales practices.