Investment Dealer and Investment Advisor Business
Investment Dealer and Investment Advisor Business is a dynamic and crucial sector within the financial industry. These businesses play a vital role in helping individuals and organizations make informed investment decisions to grow their wealth, and help clients navigate the complexities of the financial markets.
​
Content
Overview
Designed to provide professionals with an overview of the core activities of Investment dealers/advisors in securities and a better understanding of the role of capital markets
Learning Outcomes
Identify the business reasons for and the activities of Investment dealers/advisors in securities/Capital Markets
​
Understand the Investment Dealer operations and compliance management
Target Audience
Regulators, Compliance Officers/Advisors/Administrators, Investment Advisors, Brokers, Equity Dealers, Wealth/Portfolio Managers, BFSI Professionals or anybody interested in the provisions of Compliance.
Level: Mid to Senior
Duration
7 Hours
Theory/Practical
​
​
MQA Approved
HRDC Refundable
​