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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: What is Suitability (or the Suitability Rule?)

Topics covered in this chapter are:

  • Define suitability
  • Identify regulatory and legal responsibilities governing suitability
  • Understand how suitability expectations have and continue to evolve
  • Differentiate between suitability responsibilities arising from solicited versus unsolicited orders
  • Describe the differences between suitability responsibilities and fiduciary obligations
  • Describe the importance of suitability as it relates to clients, the public, regulators, the courts and other interested parties

Lesson 2: Suitability and the Know Your Client Rule

Topics covered in this chapter are:

  • Define the KYC Rule and describe how it relates to the ‘Know Your Product’ and Suitability rules
  • Describe why KYC is not limited to suitability
  • Describe how suitability factors into account type and general investment determinations
  • Understand the regulatory and legal standards for collecting and updating KYC information

Lesson 3: How do General Suitability Requirements Align with Investment Objectives, Risk Tolerance, and Time Horizon

Topics covered in this chapter are:

  • Identify key considerations when establishing a client’s investment objectives, risk tolerance and time horizon
  • Describe the regulatory requirements applicable to investment objectives, risk tolerance and time horizon
  • Understand the distinction between client and account level KYC information
  • List the various means to categorize and explain investment risk and related considerations