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Continuing Education → Compliance / Business Conduct → CCO Edition

CCO Edition: Client Focused Reforms (LCICCO004)


Description
Client focused reforms have arrived! And in this CCO Edition program, we provide the CFR guidance in audio and visual formats. This course is for anyone that really needs to sink their teeth into the Client Focused Reforms sections of National Instruments (NI) 31-103: Registration Requirements, Exemptions and Ongoing Registrant Obligations.

Straight up. Technical. And completely built on the Companion Policy of 31-103.

4.0 IIROC: Compliance: (24-0593C)
4.0 MFDA: Business Conduct - Non-Ethics 1000006015
4.0 Financial Services Regulatory Authority of Ontario: Life or A and S

4.0 Insurance Council of British Columbia: Life or A and S
4.0 Insurance Councils of Saskatchewan: Life or A and S
4.0 Insurance Council of Manitoba: Life and/or A and S (43705)

4.0 FP Canada: 2 Financial Planning 2 Professional Responsibility
4.0 CIM/PFP Compliance
4.0 CFA: Standards, Ethics, Regulations

4.0 CPA: Verifiable Ethics CPD
4.0 Advocis: Structured Learning
4.0 Law Society of Ontario Substantive Hours

#ClientFocusedReforms

CE Credits: 4.0 MFDA CE Activity Cod...: 1000006015 IIROC: 4.0 IIROC: Compliance: (24-0593C) MFDA: 4.0 MFDA: Business Conduct - Non-Ethics ... FSRA: 4.0 Financial Services Regulatory Author... ICBC: 4.0 Insurance Council of British Columbi... ICS: 4.0 Insurance Councils of Saskatchewan: ... ICM: 4.0 Insurance Council of Manitoba: Life ... CFP / QAFP: 4.0 FP Canada: 2 Financial Planning 2 Pr... CIM / PFP: 4.0 CIM/PFP Compliance CFA: 4.0 CFA: Standards, Ethics, Regulations CPA: 4.0 CPA: Verifiable Ethics CPD Advocis: 4.0 Advocis: Structured Learning Law Society of ON: 4.0 Law Society of Ontario Substantive H...

Content
  • Part I : Conflicts of Interest
  • audiobook
  • Audiobook - Conflicts of interest: Companion Policy
  • Videobook
  • Conflicts of Interest (2:22)
  • Addressing material conflicts in the best interest of the client (1:46)
  • Conflict of interest controls (2:03)
  • Conflicts arising from proprietary products (3:49)
  • Conflicts arising from third-party compensation (3:49)
  • Internal compensation and incentive practices (3:54)
  • Conflicts of interest at the supervisory level (1:09)
  • Conflicts in fee-based accounts (0:50)
  • Addressing conflicts between clients (0:32)
  • Conflicts related to referral arrangements (1:35)
  • Full control or authority over the financial affairs of a client (0:38)
  • Individuals who serve on a board of directors (3:39)
  • Individuals who have outside business activities (6:20)
  • Registrants' responsibility to report and address material conflicts (1:40)
  • Disclosing conflicts of interest (5:24)
  • Examples of conflicts of interest disclosure (5:30)
  • Quiz
  • Quiz : Part I : Conflicts of Interest
  • Part II: KYC, KYP, SD
  • Know your client
  • General Principles (5:06)
  • KYC for conducting a suitability determination (5:35)
  • Client's personal circumstances (7:58)
  • Client's risk profile (8:04)
  • Keeping KYC information current (3:01)
  • Know your product
  • General obligations of registrants (5:43)
  • KYP Process for firms (5:29)
  • Elements in the assessment of securities (7:23)
  • Suitability Determination
  • General principles (3:34)
  • Interests of the client come first (5:17)
  • Portfolio approach to suitability (6:53)
  • Reassessing suitability (6:59)
  • Audiobook
  • Know your client (30:00)
  • Know Your Product (18:39)
  • Suitability Determination (22:51)
  • Quiz
  • Quiz: Part II: KYC, KYP, SD
  • Part III: RA, RDI, MC, OAs, POIs and Vulnerable Clients
  • Videobook
  • Referral arrangements (9:35)
  • Misleading communications (5:09)
  • Relationship disclosure information (10:40)
  • Disclosure of conflict of interest (8:07)
  • Scholarship plan dealers (8:20)
  • Audiobook
  • Referral Arrangements (9:38)
  • Misleading Communications (5:11)
  • Relationship Disclosure Information (27:08)
  • Outside Activities and Positions of Influence (26:25)
  • Protecting Vulnerable Clients (31:59)
  • Part IV : Vulnerable Clients
  • Financial Exploitation, Vulnerable Clients and Mental Capacity (6:41)
  • Trusted contact person (10:42)
  • Temporary holds (13:57)
  • Quiz
  • Quiz: Part IV : Vulnerable Clients
  • Part V: Outside Activities and Positions of Influence
  • 1. Firm oversight of outside activities (1:24)
  • 2. Conflicts and risks from outside activities (5:35)
  • 3. Monitoring and supervising outside activities (7:34)
  • 4. Individuals in a position of influence (11:50)
  • Quiz
  • Quiz: Part V: Outside Activities and Positions of Influence
Completion rules
  • All units must be completed
  • Leads to a certificate with a duration: Forever
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