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 compliance.
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.
The objectives of this course are to:
This course will only be available to SAIS members in good standing, i.e.
- Holds the CSb(SA) designation
- Is up-to-date with their SAIS membership fees
- Is compliant with the SAIS CPD requirement
The cost of the course is R6300.00 (incl. VAT).
Corporate members will receive a 10% discount if paying on behalf of their employee.
|1 June 2020||Registration period opens (Click here to register...)|
|15 June 2020||Registration period closes|
|15 June 2020||Course material is released|
|30 June 2020||Lecture 1 (3 hours)||Chapters 1 – 6||Conducted via Skype|
|14 July 2020||Lecture 2 (3 hours)||Chapters 7 – 13||Conducted via Skype|
|17 July 2020||Assignment is released|
|21 July 2020||Q&A session (3 hours)||Conducted via Skype|
|24 July 2020||Assignment is due for submission|
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