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Lesson 1: Overview and Background of CFRs

Topics covered in this chapter are:

  • General Overview of the Regulatory Environment
  • IIROC and MFDA harmonization with the CFRs
    • Training Requirements Under the CFRs
  • Legal Responsibilities and Evolution of Relationship Disclosure
  • Summary

Lesson 2: General Disclosure Requirements

Topics covered in this chapter are:

  • Account Type
    • Description of Products and Services
    • Disclosure of Where and the Manner in Which Client Assets are Held
    • Disclosure of Conflicts of Interest
    • Disclosure of Charges and Other Compensation
    • Description of content and frequency or reporting
    • Suitability Determinations and KYC Information
    • Benchmarks
    • Investment Impact of Costs and Restrictions
    • Pre-trade disclosure of charges
    • When the firm has a relationship with a financial institution
  • Example
  • Summary