Describe the key document that financial services providers

Reference no: EM132725066

Question 1. Describe the key document that financial services providers must give to clients so as to meet disclosure of capacity requirements and maintain compliance with requirements.

Question 2. Explain three basic principles of contract law and why it is essential for compliance that these are followed.

Question 3. Explain duty of care principles for financial services providers and why they are important for compliance.

Question 4. Explain the concept of fiduciary duties and why it important for a financial services officer to comply with this.

Reference no: EM132725066

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