Branch Compliance Officers Course (BCO) Free Practice Questions Set 2

Canada Security Exam Quiz 09 Topics Covers:
Sales Representative Supervision:
1. Supervising the relationship between the client and the sales representative
2. Confidentiality
3. Mutual Funds Performance Communications
4. Describing Fees and Loads
5. Supervising the Rates of Return communications to Clients
6. Client Account Performance Reporting
7. Unacceptable Sales Practices
8. Non-Registered Sales Staff Prohibited Activities
9. Registered Sales Staff Prohibited Activities
10. Orders Supervision
11. Sales Practices supervision
12. Disclosure of Conflicts of Interest

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