Quick Answer
Professional conduct and controls covers the operational behaviors that protect customers and the firm. This chapter addresses communication, privacy, red-flag escalation, vendor and associated-person dealings, supervision, separation of duties, information barriers, access controls, written procedures, and business continuity planning.
What You'll Learn
| Unit | Focus |
|---|---|
| Relationships and Dealings | Communications, vendors, commissions, and associated persons |
| Customer Privacy | Confidentiality, information sharing, privacy notices, and identity theft controls |
| Escalating Complaints and Red Flags | Recognizing and escalating complaints and unusual activity |
| Broker-Dealer Supervision and Control | Segregation of duties, access controls, written procedures, and continuity planning |