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Chapter 5: Client Discovery and Account Opening

In this section

  • Opening Accounts
    Opening client accounts in the Canadian securities industry requires strict adherence to CIRO rules, AML and ATF compliance, and clear client communication. Learn how to navigate account types, disclosures, and documentation for a solid client-advisor relationship.
  • The New Account Application Form (NAAF)
    Learn how the New Account Application Form (NAAF) establishes the foundation for a successful client-advisor relationship, including essential client information, regulatory obligations, and ongoing suitability assessments.
  • Completing the New Account Application Form
    A comprehensive guide on how to fill out the New Account Application Form (NAAF) within the Canadian securities industry, from validating client identity to aligning investment objectives.
  • Disclosures: Key to Investor Trust and Regulatory Compliance
    Dive into the importance of clear, accurate, and timely disclosures in the Canadian securities industry, exploring conflicts of interest, fee transparency, and CSA Client Focused Reforms to ensure client protection and regulatory compliance.
  • Client Records
    Learn how to maintain, update, and protect client records in compliance with Canadian securities regulations and CIRO requirements, ensuring data security and client-centric service.

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Chapter 4: Working with Clients
Chapter 6: Product Due Diligence, Recommendations, and Advice