Study guide
BCO study guide
Contents
Chapter 1: The Role of a Branch Compliance Officer
Chapter 2: Mutual Fund Industry Regulation
Chapter 3: Registration Requirements
Chapter 4: Account Opening and Client Documentation
Chapter 5: Disclosure Requirements
Chapter 6: Suitability Requirements
Chapter 7: Mutual Funds Performance Evaluation
Chapter 8: Dealing with Complaints
Chapter 9: Sales Representative Supervision
- 9.1 Daily Trade Reviews, Trade Logs, and Pattern Surveillance
- 9.2 Monthly Account Reviews, Trend Analysis, and Churning Prevention
- 9.3 Standards of Conduct, Pre-Signed Forms, and Discretionary or Unauthorized Trading
- 9.4 Personal Financial Dealings, Selling Away, Rebates, and Off-Channel Communications
- 9.5 Supervising Performance Communications, Benchmarks, and Descriptions of Fees and Loads
Chapter 10: Supervisory and Control Systems
- 10.1 Control Systems for Registration, OBA, and Personal Dealings
- 10.2 Control Systems for Disclosure, Leverage Disclosure, and Client Information
- 10.3 Branch Reviews (MFD Rule 500), CIRO Examinations, and Corrective Action
- 10.4 Supervisory Checklists: Periodic Cadence, the Internal Branch Sales Checklist, and the Business and Ethical Responsibilities Checklist