The activities in this pathway explore one of the key areas of the COBS guidelines; dealing and managing. Specifically, you will look at handling client orders, including aggregating orders and client limit orders, dealing commission and record keeping before and after execution.
This course is suitable for all audiences.
When you've completed all of the activities in this pathway, you should be able to:
- describe what a firm needs to do when aggregating orders
- identify the issues involved with client limit orders
- detail what a firm needs to in terms of record keeping under the COBS regime
- explain what is and isn't acceptable in terms of commission.
