Explore the regulatory framework governing mutual funds in Canada, focusing on the roles of Self-Regulatory Organizations and National Instruments to ensure investor protection and fair practices.
Explore the significance of the Know Your Client (KYC) rule in mutual fund sales, its compliance steps, and the importance of assessing suitability for investment recommendations in Canada.
Explore the essential client disclosure documents for mutual funds, including Fund Facts, Simplified Prospectus, and Annual Information Form (AIF), to ensure transparency and informed decision-making for investors.
Explore the restrictions and prohibited selling practices in mutual funds, focusing on ethical conduct and regulatory compliance in Canada.
Explore the critical role of relationship disclosure information in mutual fund sales, detailing key components, delivery methods, and regulatory compliance within the Canadian financial landscape.
Explore the critical role of Anti-Money Laundering (AML) and Anti-Terrorist Financing (ATF) regulations in the mutual fund industry, focusing on compliance obligations, penalties, and best practices.
Explore the essential documentation and regulatory requirements for managed accounts under IIROC guidelines, including agreements, compliance, and best practices.
