Fais Re1 And Re5 General Code Of Conduct (2025 Update)

Fais Re1 And Re5 General Code Of Conduct (2025 Update)
Published 2/2025
MP4 | Video: h264, 1920×1080 | Audio: AAC, 44.1 KHz

General Code of Conduct

What you’ll learn

Learners will be able to explain the requirements for fair client treatment and disclosure as stipulated in the FAIS GCOC

Learners will demonstrate the ability to identify and manage conflicts of interest in line with FAIS regulations.

Learners will understand the ethical responsibilities of Financial Service Providers (FSPs) and representatives as mandated by the FAIS General Code of Conduct.

Learners will be able to outline the proper record-keeping and reporting practices required for FSPs under FAIS regulations.

Requirements

There are no pre-requisites for this learning activity. You will learn everything you need to know in the course.

Description

Overview

Section 1: Introduction

Lecture 1 Definitions

Lecture 2 Task 4: QC1: Describe the general and specific duties of a provider.

Lecture 3 Task 4: QC2: Describe what could possibly be a conflict of interest

Lecture 4 Task 4: QC3: Define the requirements and impact of the disclosure rules on FSPs

Lecture 5 Task 4: QC4: Apply the requirements of the General Code of Conduct for FSPs

Lecture 6 Task 4: QC5: Disclosures that need to be made before rendering a financial serv

Lecture 7 Task 4: QC6: Disclosures that must be made when rendering a financial service

Lecture 8 Task 4: QC7: Disclosures regarding the provider, product supplier and financial

Lecture 9 Task 4: QC8: Explain the specific disclosure requirements regarding fees and com

Lecture 10 Task 4: QC 9: Apply disclosure requirements in terms of financial services.

Lecture 11 Task 4: QC 10: Process of advice

Lecture 12 Task 4: QC 11: Requirements when a Rep receives custody of financial products

Lecture 13 Task 4: QC 12_13: Complaints handling

Lecture 14 Task4: QC14: Requirements when terminating an agreement.

The target learners for this course are individuals preparing for the the FAIS RE1/ RE5 (Regulatory Exams).