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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 Vulnerable Clients

Topics covered in this chapter are:

  • Introduction
  • Regulatory Objectives and Initiatives

Lesson 2: Compliance Considerations when Dealing with Vulnerable Clients

Topics covered in this chapter are:

  • Powers of Attorney
  • Communication to Vulnerable Clients
  • Marketing and Advertising to Vulnerable Investors
  • Policies and Procedures to Address Vulnerable Client Issues
  • CFRs as it Applies to Vulnerable Clients
    • Know Your Product (KYP)
    • Know Your Client (KYC)
    • Suitability
  • Managing Financial Exploitation and Diminished Capacity

Lesson 3: Detecting and Preventing Exploitation

Topics covered in this chapter are:

  • Introduction
  • Red Flags
    • Red Flags – Financial Exploitation
    • Red Flags – Powers of Attorney
    • Red Flags – Diminished Capacity
  • Trusted Contact Person
  • Temporary Holds and “Safe Harbour”

Lesson 4: Note taking and Documentation

Topics covered in this chapter are:

  • Introduction
  • Note Taking and Documentation
  • Case Study