Transfer Agency Administration and Oversight Quiz 09

Last Updated: June 2024

Table of Contents

Transfer Agency Administration and Oversight
Element 7
Customer and Investor Relations

– Onboarding
On completion, the candidate should:

– know the required content of customer agreements
– know general considerations for setting up a new account
– know the taxable status of different entities

– Customer Service
On completion, the candidate should:

– know relevant regulation and best practice in relation to information and advice giving
– know methods for identifying vulnerable customers
– know legal considerations relating to vulnerable customers

– Complaints
On completion, the candidate should:
– know the principal requirements for a complaints handling procedure
– know the regulatory procedures for handling customer complaints
– understand summary resolution communication (SRC)

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