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Know Your Product

 

Lesson 1: What is "KYP"?

  • Section 1: What "Know Your Product" Means
  • Section 2: The Gatekeeper Role
  • Section 3:
    • New Product Risks
    • Derivatives
    • Case Study: Barings Bank

Lesson 2: Case Study: Asset-Backed Commercial Paper (ABCP)

Lesson 3: Due Diligence and Registration Exemptions

  • Section 1: IIROC Standards for Product Due Diligence
  • Section 2:
    • Implications for Referral Arrangements
    • Case Study: Portus Alternative Asset Management Inc.
  • Section 3: National Instrument 45-106: Prospectus and Registration Exemptions
  • Section 4: Suitability and Due Diligence Expectations
  • Section 5: Appendix 1: The U.S. Regulatory Perspective

Lesson 4: Best Practices for KYP

  • Section 1: Best Practices for Product Due Diligence
  • Section 2: Ask the Right Questions!
  • Section 3: IIROC’s Survey of Best Practices

Lesson 5: Conclusions and Implications

QUIZ FORMAT
Quiz Format Online
Question Format Multiple Choice
Questions Per Quiz 20
Passing Grade 60%*
Attempts Allowed Unlimited*
ENROLMENT PERIOD
Enrolment Period 6 months

* IMPORTANT: There is no maximum to the number of quiz attempts permitted, but only the first passing grade (60% or over) will appear on official web transcript.

Continuing Education (CE) Credits

Click the links below or the buttons at the top of the page on the right side to access CE accreditation information. To search for specific course information, press Ctrl + F and then enter the course name to search the document for the information you are interested in.

National/Provincial (Excluding Quebec)
Download CE Chart (PDF, 163 kb)

Quebec (IQPF/CSF)
Download IQPF/CSF Chart (PDF, 182 kb)

Please note: While CSI makes every effort to ensure that the information is up-to-date, we are unfortunately unable to fully guarantee its accuracy. The information listed in the charts above may be subject to change.

For details on the organizations and other information on CE Credits listed in the above charts, please click here.

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