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IFSE Institute Exam LLQP Topic 3 Question 6 Discussion
Topic #: 3
Benjamin is a financial security advisor working for the Larson Group. He is following a mandatory compliance training session given by Andrew, the compliance manager. Andrew explains the importance of following the Chambre de la scurit financire code of ethics, and Benjamin would like to know to whom the code of ethics applies.
What is Andrew's CORRECT response?
The Chambre de la scurit financire code of ethics applies specifically to financial security advisors and financial planners in Quebec. This code outlines the professional conduct required of those working within the financial services industry who advise clients on security products. Administrative assistants, claims adjusters, and damage insurance agents do not fall under the purview of the CSF code of ethics as they are regulated under different professional codes or by different oversight organizations.
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