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Working with vulnerable clients

 

Investment advisors and dealer members are uniquely positioned to play a critical role in the detection and mitigation of issues that vulnerable clients may be exposed to. Given their proximity to their clients the investment advisor will be in a position to detect subtle changes and nuances with respect to client behaviour, changes to investment strategies and objectives, and other changes to mental state which may be a sign of client distress or worse, financial exploitation.

Lesson 1 - Background on vulnerable persons

Lesson 2 - Compliance considerations when dealing with vulnerable clients

  • Powers of attorney
  • Communication
  • Marketing and advertising
  • Policies and procedures
  • Product due diligence, know-your-product and know-your-client
  • Suitability
  • Managing financial exploitation and incidents of diminished capacity

Lesson 3 - Detecting and Preventing Exploitation

  • Red Flags
  • Compliance Considerations
  • Trusted Contact Person
  • Safe Harbour

Lesson 4 - Note taking and Documentation

Approximate Hours of Study**
Hours of Study 2.5 hours
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.