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Conduct and Practices Handbook

Course Code FINA-308
Lecture hours per week 4
Lab hours per week
Course Availability: Open

The CPH teaches students about the critical work practices that are part of an investment advisor's daily life. Fiduciary duty, Standards of Care and Know Your Client Rules are all critical in maintaining the integrity of our Capital Markets.

An understanding of various trading rules are integrated with an ethical and moral framework to give students confidence in negotiating the path to a successful practice.

Course Outline