Chapter 4: Working with Clients

In this section

• Registration Requirements of a Registered Representative
  Learn the fundamentals and practical steps required to become and remain a Registered Representative in Canada, covering proficiency, continuous education, and compliance to ensure ethical and professional client service.
• Communication with the Public
  Explore how Registered Representatives can confidently navigate communication with the public using clear, balanced, and compliant messages, while maintaining trust through social media, advertising, and ethical disclosures.
• General Regulations and Guidelines for Sales Literature
  Explore essential guidelines and best practices for creating, reviewing, and distributing compliant sales literature under CIRO Rule 3600. Learn how to avoid misleading claims, disclose conflicts of interest, and maintain transparency in your marketing materials.
• Dealing with Clients
  Discover essential strategies, best practices, and regulatory obligations for Registered Representatives when interacting with clients, emphasizing honesty, fairness, and client-first principles.
• Privacy and Cybersecurity Safeguards for Client Confidentiality
  Explore essential privacy and cybersecurity requirements, best practices, and real-world strategies for protecting client data in the Canadian securities industry.