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What is the course syllabus?

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Lesson 1: Background on KYP and Historical Issues

Topics covered in this chapter are:

  • Introduction
  • Know Your Product
    • Gatekeeper responsibilities
    • KYP and new products

Lesson 2: Applicable Industry Rules and Regulations

Topics covered in this chapter are:

  • Introduction
  • Investment Industry Regulatory Organization of Canada (IIROC) Guidance
  • Canadian Securities Administrators (CSA) Guidance
  • Mutual Fund Dealers Association of Canada (MFDA) Guidance
  • The International Organization of Securities Commissions (IOSCO) Guidance

Lesson 3: The Creation and Implementation of a KYC and Product Due Diligence Program

Topics covered in this chapter are:

  • Introduction
  • Know Your Product and Due Diligence
    • Elements of the Know Your Product and Product Due Diligence Program
    • KYP/Product Due Diligence Oversight Committee
    • Written Policies and Procedures
    • Client Identification
    • Product Identification and Knowledge
    • Product Training and Proficiency
    • Ongoing Monitoring
    • Handling Complaints
  • Asking The Right Questions

Lesson 4: Practical Considerations

Topics covered in this chapter are:

  • Introduction
  • Practical Considerations
    • Note taking