Compliance Training: Nondeposit Investment Product Sales

Course Objectives:

Describe the objective and scope of the compliance rules on
retail sales of nondeposit investment products
Identify the regulatory requirements for nondeposit
investment product polices and procedures for arrangements
with third parties
Discuss the rules for nondeposit investment product
disclosures and advertising
Summarize other general compliance guidelines applying to
nondeposit investment product sales

Target Audience: Banking personnel responsible for compliance in the area of retail nondeposit investment product sales, as well as retail branch employees, staff, and management

Study time: 2 hours

Author:
Digital University staff

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