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** | |
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Hours of Study | 2.5 hours |
QUIZ FORMAT | |
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Quiz Format | Online |
Question Format | Multiple Choice |
Questions Per Quiz | 20 |
Passing Grade | 60%* |
Attempts Allowed | Unlimited* |
ENROLMENT PERIOD | |
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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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National/Provincial (Excluding Quebec)
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Quebec (IQPF/CSF)
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