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Guidelines for Investment Services Companies – Instruction

Von Lecturio Online Courses

Do you sometimes encounter unclear situations regarding ethics and compliance in the securities services business (WPDLU)? Join us for a hands-on module that takes an in-depth look at regulatory and ethical guidelines in the WPDLU sector. Gain in-depth knowledge on how to conduct yourself in a legally safe manner in relation to business meals, gifts, client interactions, and transactions. We also explore how you can ensure the best possible trading conditions for clients, how to effectively monitor products, and how to ensure compliance in your day-to-day business. Build your understanding of how to manage benefits and avoid conflicts to ultimately always put the client's interest first while meeting regulatory requirements.


  • Enthaltene Vorträge: 1
  • Laufzeit: 0:07 h
  • Enthaltene Quizfragen: 4
  • Enthaltene Lernmaterialien: 1

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Dozenten des Kurses Guidelines for Investment Services Companies – Instruction

 Lecturio Online Courses

Lecturio Online Courses

Lecturio provides sustainable, simple and cost-efficient continuing education and training to companies and private customers. The e-learning catalogue consists of more than 7000 video-based courses covering over 80 topics. The focus is on compliance, leadership, project management, distribution, and medicine. Most of private customers use Lecturio in parallel to their studies and to prepare for their exams in medicine and law. Lecturio provides practical video-based online training—in German and English. Thousands of quiz questions help to measure and assess the learning success. Lecturio courses are available on all devices—and even offline with the iOS and Android app. Lecturio’s mission is to help companies and private customers to develop their full potential.


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