Course curriculum

  • 1. The Need for Fair Dealing

    • 1.1 Treating Customers Fairly

    • 1.2 A Global Concern

  • 2. Responsibilities of the Board and Senior Management

    • 2.1 Regulator’s Expectations

    • 2.2 The Role of the Board

    • 2.3 Putting the Guidelines into Practice

  • 3. Fair Dealing Outcomes

    • 3.1 The Five Fair Dealing Outcomes

  • 4. Corporate Culture and Customer Confidence

    • 4.1 Outcome 1: Customers Have Confidence that They Deal with Financial Institutions where Fair Dealing is Central to the Corporate Culture

    • 4.2 Building A Fair Dealing Culture

  • 5. Best Practices for Investment Products

    • 5.1 Outcome 2: Financial Institutions Offer Products and Services That are Suitable for Their Target Customer Segments

    • 5.2 Design and Governance of Products and Services

    • 5.3 Due Diligence on New Products

    • 5.4 Marketing the Product to Customers

    • 5.5 Marketing Complex Products

  • 6. Best Practices for Investment Products

    • 6.1 Outcome 3: Customers are Served by Competent Representatives

    • 6.2 Training and Supervising Representatives

    • 6.3 Aligning Remuneration Structures with Customers’ Interest

  • 7. Clear Communication with Customers

    • 7.1 Outcome 4: Customers Receive Clear, Relevant and Timely Information to Accurately Represent the Products and Services Offered and Delivered

    • 7.2 Presenting Information about the Product

    • 7.3 Providing Fair and Balanced Information

    • 7.4 Managing Customer Expectations

    • 7.5 Post-Sales Services

  • 8. After-Sales Services and Complaints Handling

    • 8.1 Outcome 5: Financial Institutions Handle Customer Complaints in an Independent, Effective and Prompt Manner

    • 8.2 Complaints Indicate Areas for Improvement

  • 9. Assessment

    • Instructions

    • Questions