The Key Individual Role of Stockbroker in Control
The aim of
this course is to provide individuals interested in becoming a
Stockbroker in Control with the structure, methodology and scope
that this key individual (KI) will require. KIs are those
responsible for managing and overseeing the activities relating to
the rendering of any financial service. Managing means
to have executive control or authority and overseeing is
the function of supervising a person/s and their work in an
official capacity. Where stockbroking firms are concerned,
stakeholders reply on the fact that a competent key individual is
assuming responsibility for the overall risk management and
The Stockbroker in Control is the coordinating and consolidating KI
between firms’ external and internal stakeholders. They preform
a key pivotal role of protecting the market and the firm.
Registrations for this course will be open from 1 June 2020.