One of the most signiﬁcant changes in the securities industry has been its transformation from a transactional, trading focused environment to one where advice and guidance exemplify the role and expectations of all registrants. It is critical that you appreciate, apply, and thoroughly document the components of suitability, a requirement that is at the intersection of the Know Your Client (KYC) and Know Your Product (KYP) rules.
In this course, we focus on the enhanced expectations regarding KYC and applicable suitability obligations that are part of the Canadian Securities Administrators (CSA) amendments collectively known as the “Client Focused Reforms” (the CFRs). The CFRs are aimed at enhancing the standards of conduct in the securities industry and better aligning the expectations of customers with their firms.
This CE course is suitable for investment advisors, mutual fund representatives, portfolio managers, exempt market dealing representatives, wealth managers and others within the financial services industry who would like to learn more about responsible investment.
Individuals licensed to sell securities that are subject to Professional Development CE requirements.
The Enhanced Suitability and KYC online mini-course course meets the CSA’s CFR training mandate as well as satisfying continued education compliance requirements for IIROC and other jurisdictions.