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What is the course syllabus?

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Lesson 1: Background on Vulnerable Clients

Topics covered in this chapter are:

  • Introduction
  • Regulatory Objectives and Initiatives

Lesson 2: Compliance Considerations when Dealing with Vulnerable Clients

Topics covered in this chapter are:

  • Powers of Attorney
  • Communication to Vulnerable Clients
  • Marketing and Advertising to Vulnerable Investors
  • Policies and Procedures to Address Vulnerable Client Issues
  • CFRs as it Applies to Vulnerable Clients
    • Know Your Product (KYP)
    • Know Your Client (KYC)
    • Suitability
  • Managing Financial Exploitation and Diminished Capacity

Lesson 3: Detecting and Preventing Exploitation

Topics covered in this chapter are:

  • Introduction
  • Red Flags
    • Red Flags – Financial Exploitation
    • Red Flags – Powers of Attorney
    • Red Flags – Diminished Capacity
  • Trusted Contact Person
  • Temporary Holds and “Safe Harbour”

Lesson 4: Note taking and Documentation

Topics covered in this chapter are:

  • Introduction
  • Note Taking and Documentation
  • Case Study