Better understand the risks associated with your product offering with CSI's Know Your Product continuing education course.
Understand the rapidly evolving regulatory standards for the "Know Your Product" (KYP) rule when creating or distributing investment products.
What You Will Learn
This course provides an insight into rules and guidelines related to product due diligence and best practices to help you better assess risks. Also covered are examples of recent cases where product due diligence was not properly conducted, and the consequences which resulted.
More specifically topics covered include:
- In-depth understanding of the term “Know Your Product”
- Understanding the “Gatekeeper” role
- Risks of new and complex products
- Evolving regulatory standards for Product Due Diligence
- Implications for Referral Arrangements
- National Instrument 45-106: prospectus and registration exemptions
- Suitability and Due Diligence Expectations
- New Product Identification
- IIROC’s Survey of Best Practices
This course is offered as a standalone course or can be included as part of CSI's CE Compliance program or Professional Development CE requirements.