CSA'S CFRs ON SUITABILITY, KYC, KYP
How These Regulatory Obligations "Fit" Together
Course Summary
Find the new CFRs "puzzling"? This course will help anyone in a Securities, Wealth Management, Audit or Compliance role understand a registrant obligations under the second phase of CSA's Client Focused Reforms focused on Suitability, Know-Your-Client (KYC) and Know-Your-Product (KYP) and how these pieces "fit" together. This course is not being accredited and it does not include a Certificate of Completion, but it can be used for informational purposes. You can watch it here for FREE or on our YouTube Channel - https://www.youtube.com/@ComplyWithMe
Course Curriculum
"The whole idea is very refreshing and entertaining and something that must be done! "
Senior Investment Associate
A Big 5 Bank
Course Pricing
Retired courses
Free
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Retired courses not currently accredited by CIRO but great for informational purposes.
Comply With Me
Compliance education shouldn't leave you needing a vacation! We deliver accredited understandable and interesting learning content to the securities and banking industries.
