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What are the course modules?

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Course 1 - Overview of Client Focused Reforms and Relationship Disclosure - CFR Series

Topics covered in this section are:

  • Overview and Background of CFRs
  • General Disclosure Requirements

Course 2 - Conflicts of Interest - CFR Series

Topics covered in this section are:

  • Understanding Conflicts of Interest
  • Addressing Conflicts of Interest
  • Note Taking and Documentation

Course 3 - Know Your Product - CFR Series

Topics covered in this section are:

  • Background on KYP and Historical Issues
  • Applicable Industry Rules and Regulations
  • The Creation and Implementation of a KYC and Product Due Diligence Program
  • Note Taking and Documentation

Course 4 - Enhanced KYC and Suitability - CFR Series

Topics covered in this section are:

  • Overview of KYC and Suitability
  • The Know Your Client Rule
  • Suitability Determination

Course 5 - Protecting Aging and Vulnerable Clients - CFR Series

Topics covered in this section are:

  • Background on Vulnerable Clients
  • Compliance Considerations when Dealing with Vulnerable Clients
  • Detecting and Preventing Exploitation
  • Note Taking and Documentation

How will you learn?

CSI’s online learning system helps you meet your study goals. You’ll benefit from:

  • eLearning course delivered in an easy to read modularized format, available 24/7
  • Available in both English and French
  • Includes a short online test to validate that employees have completed the training
  • Provides tracking and reporting of employees that are registered and have completed the training requirement
  • Easy registration into the eLearning through a jump page

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