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CSI will be performing system maintenance on Saturday May 11th from 5 a.m. until 1 p.m. ET. You will not have access to your “myCSI” student account, nor will you be able to book, cancel or reschedule exams during this time. You can still access your online course materials by visiting connect.csi.ca then connecting to “Blackboard Learn”.

What is the course syllabus?

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Lesson 1: Background on KYP and Historical Issues

Topics covered in this chapter are:

  • Introduction
  • Know Your Product
    • Gatekeeper responsibilities
    • KYP and new products

Lesson 2: Applicable Industry Rules and Regulations

Topics covered in this chapter are:

  • Introduction
  • Canadian Investment Regulatory Organization (CIRO) Guidance
  • Canadian Securities Administrators (CSA) Guidance
  • Canadian Investment Regulatory Organization (CIRO) Guidance
  • The International Organization of Securities Commissions (IOSCO) Guidance

Lesson 3: The Creation and Implementation of a KYC and Product Due Diligence Program

Topics covered in this chapter are:

  • Introduction
  • Know Your Product and Due Diligence
    • Elements of the Know Your Product and Product Due Diligence Program
    • KYP/Product Due Diligence Oversight Committee
    • Written Policies and Procedures
    • Client Identification
    • Product Identification and Knowledge
    • Product Training and Proficiency
    • Ongoing Monitoring
    • Handling Complaints
  • Asking The Right Questions

Lesson 4: Practical Considerations

Topics covered in this chapter are:

  • Introduction
  • Practical Considerations
    • Note taking