Putting It All Together

This closing chapter is the integration layer of the book. It shifts from isolated rules to mixed scenarios where suitability, records, complaints, conduct, and regulatory structure all interact in one fact pattern.

Topics in This Chapter

• Review of Good Conduct and Practices
• The Chengs’ Accounts Case Study

Exam Focus

Expect composite case questions rather than pure definition checks. The stronger answer usually identifies more than one issue at once, ranks the risks correctly, and chooses the next step that best protects the client while preserving a defensible record.

In this section

• Conduct and Practice Review
  Integrate ethics, KYC, suitability, communication, records, conflicts, and escalation into one practical conduct framework.
• The Chengs Case Study
  Apply KYC, suitability, communication, conflicts, execution, and follow-up controls through a family-account case study.