Chapter 8: Maintaining Client Accounts and Relationships

In this section

• Accounting for Client Transactions
  Explore how accurate, transparent, and compliant approaches to Client Transaction Accounting empower investment dealers to maintain trust, meet regulatory standards, and protect client assets in the Canadian securities industry.
• Margin Accounts
  Discover how margin accounts enable investors to borrow funds for securities purchases, the associated risks and requirements, and best practices for compliance under CIRO guidelines.
• Cash Accounts: T+2 Settlement, Client Obligations, and Best Practices
  A comprehensive exploration of cash accounts, focusing on how to manage, settle trades, and comply with CIRO regulations regarding payment timelines, short selling restrictions, and client responsibilities.
• Communicating Trading Information to Customers
  Explore key strategies for delivering clear, accurate, and timely trading information—such as trade confirmations, account statements, and fee disclosures—aligned with CIRO regulations in Canada.
• Client Complaints and Account Transfer Requests
  Learn how to effectively manage client complaints and facilitate account transfers under CIRO guidelines, ensuring transparent communication, efficient resolutions, and robust client relationships.