Compliance → CCO Edition

CFR CCO Edition Part II: KYC, KYP, SD


Description
Manitoba Insurance Council: 1.0 Life and/or A&S (#38421)

This might not be the most awaited sequel of the year but is an important one.

This course is for anyone that really needs to sink their teeth into the new Know Your Client (KYC), Know Your Product (KYP) and Suitability Determination 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 Section 13.

#ClientFocusedReforms

CE Credit Type: Compliance

Content
  • 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)
  • Final Quiz
  • Final Quiz - CFR:CCO edition part 2
Completion rules
  • All units must be completed
  • Leads to a certification with a duration: Forever