Lesson 1: What is "KYP"?
- Section 1: What "Know Your Product" Means
- Section 2: The Gatekeeper Role
- Section 3:
- New Product Risks
- 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
|Question Format||Multiple Choice|
|Questions Per Quiz||20|
|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
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