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DMTP - Retail - Edward Jones (LCIDMTP-Retail-EJ)


Description
Learnedly’s DMTP for Retail equips Registered Representatives with CIRO-aligned training across the full Retail RR Competency Profile.
Content
  • Initiate Client Relationships
  • RR Retail Chapter 1: Regulatory Framework
  • RR Retail Chapter 2: Prospective Client Relationships
  • RR Retail Chapter 3: Scope of Client Relationships
  • RR Retail Chapter 4: Required Documents and Disclosures
  • Quiz - Initiate Client Relationships
  • Know Your Client
  • RR Retail Chapter 5: Collection of Required Information
  • RR Retail Chapter 6: Analysis and Evaluation of KYC Information
  • RR Retail Chapter 7: Using KYC Information to Set Financial Goals
  • Quiz - Know Your Client
  • Product and Market Impact
  • RR Retail Chapter 8: Macroeconomic Analysis
  • RR Retail Chapter 9: Industry Analysis
  • RR Retail Chapter 10: Company Analysis
  • RR Retail Chapter 11: Technical and Statistical Analysis
  • RR Retail Chapter 12: Characteristics and Information on Equities
  • RR Retail Chapter 13: Characteristics and Information on Fixed Income Products
  • RR Retail Chapter 14: Characteristics and Information on Managed Products
  • RR Retail Chapter 15: Characteristics and Information on Mutual Funds
  • RR Retail Chapter 16: Characteristics and Information on Other Investments
  • RR Retail Chapter 17: Overview of Options and Similar Derivative Contracts
  • Quiz - Product and Market Impact Chapters 11 - 17
  • Suitability
  • RR Retail Chapter 21: Know Your Product (KYP)
  • RR Retail Chapter 22: Development of Investment Recommendations
  • RR Retail Chapter 23: Investment Action Recommendations
  • RR Retail Chapter 24: Client Account Monitoring and Performance
  • Quiz - Suitability
  • Execution and Market Integrity
  • RR Retail Chapter 25: Market Integrity, Trade Execution and Settlement
  • RR Retail Chapter 26: Gatekeeping Responsibilities
  • Quiz - Execution and Market Integrity
  • Maintain Client Relationships
  • RR Retail Chapter 27: Communication with Clients
  • RR Retail Chapter 28: Relevant Changes and Updates
  • RR Retail Chapter 29: Documentation Requirements and Best Practices
  • RR Retail Chapter 30: Client Complaint Handling and Reporting
  • Quiz - Maintain Client Relationships
  • Conflicts and Ethics
  • RR Retail Chapter 31: Conflicts of Interest and Ethics
  • RR Retail Chapter 32: Outside Activities
  • RR Retail Chapter 33: Personal Financial Dealings
  • RR Retail Chapter 34: Containment of Confidential Information
  • Quiz - Conflicts and Ethics
Completion rules
  • All units must be completed
  • Leads to a certificate with a duration: Forever
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