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Ethics and the Client Experience (ECE)

 

What You Will Learn

Students will acquire a high level of technical knowledge of ethical standards. They will also have a refined understanding of how to effectively communicate with clients in a variety of situations, such as how to:

  • Illustrate the communication process
  • Interpret the different forms of non-verbal communication
  • Demonstrate effective communication behaviors
  • Describe the size and demographics of the wealth transfer market
  • Describe some of the issues, attitudes and controversies regarding intergenerational transfer of wealth
  • Discuss the various opportunities for wealth transfer with your client in a sensitive manner
  • Identify the emotional issues involved in wealth transfer and the family
  • Outline a three-phase approach which may be used by advisors in discussions with clients and their families
  • Apply different methods of questioning to foster discussion, and avoid or manage family conflict
  • Apply the appropriate communication skills when dealing with beneficiaries and grieving and incapacitated clients
  • Explain the particular needs of the elderly
  • Describe how the psychological, social and neurological changes occur with aging affect the decisions made by your clients
  • Identify and apply ethical concepts to client situations
  • Distinguish between the concepts of trust, agency and fiduciary duty

ECE is one of the requirements for CSI's MTI® Estate and Trust Professional designation. It can also be taken as a stand-alone course.

Approximate Hours of Study**
Hours of Study 20 - 30 hours

** In order to provide some guidance to course participants as to the length of time it will take to be sufficiently prepared to write the final examination, CSI has prepared this estimate of the number of hours an average participant could possibly expect to spend studying for a course. Please note that these are only recommended hours of study developed based on research and our course content, however, this does not mean that some students with exceptional backgrounds would not take less time than recommended or that students with no background at all in finance or economics would not take longer than the maximum.

ASSESSMENT STRUCTURE (Subject To Change)
(weightings are approximate)
Effective Communication 4%
Wealth Transfer 40%
Special Considerations 28%
Ethics 28%
TEST FORMAT (Subject To Change)
Tests 1
Test Format Online
Test Length 1.5 Hours
Question Format Multiple Choice
Questions Per Exam 50
Attempts Allowed Per Exam 2*
Passing Grade 70%
Assignments None
ENROLMENT PERIOD
Enrolment Period 6 months

*Students will have two attempts ONLY to complete the test for this course. There is no additional charge for the second attempt. If you fail both attempts you will have to re-enrol in the course.

Important: During a student's enrolment period, CSI may update this course. In that case, details about the update and how it may affect students will be posted online via My CSI. Students are held responsible for and are examinable on the content in the course textbook(s) provided at the time of enrollment unless stated otherwise in My CSI. Students are encouraged to check My CSI regularly throughout their enrolment period.

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.