QI Essentials: Understanding the foundations of QI compliance
Online Course
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TConsult
About the CPD course
This course gives participants a foundation level understanding of the U.S. qualified intermediary regime and the role you play in helping your firm to be compliant with the terms of the QI Agreement.
TConsult have been providing practical, experience based consulting and training services for over 10 years. Our team of experts have extensive knowledge of the regulations, governance principles and procedures required to make sure your financial institution is compliant and operating efficiently. We provide practical opinions and suggestions for your institution based on our subject matter expert’s extensive knowledge, helping you avoid regulatory sanctions and maintain your reputation in the marketplace. Instead of simply providing you with references to legislation, we give real, in depth analysis and support, thanks to our in-depth knowledge of both regulation and of the way the financial services industry actually operates.
