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At CSI, the well-being of our valued learners and staff is our highest priority. Learn more about our response to COVID-19 and changes to our exam delivery format.

Working with vulnerable clients


This course will help investment advisors and dealer members deal with issues that arise when dealing with vulnerable clients. While some of these issues are somewhat obvious and typical, such as know-your-client information and regular updates, suitability and know-your-product and effective communication strategies, others are novel, such as the creation and documentation of a "trusted person". This course will also help registrants understand the delicate position they are placed in when a client is determined to be vulnerable and whether the registrants are in a position to seek "safe harbour" for their actions.

Who Should Enrol?

  • Investment Advisors
  • Financial Planners
  • Wealth Managers
  • It is recommended for individuals who are subject to CE compliance requirements