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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.

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CSI / CIRO: CSC (1 & 2), CPH
Wealth: WME (1 & 2)
Mutual Funds: IFC
Portfolio: IMT (1 & 2), PMT, AIS
Derivatives & Options: DFOL
Governance: PDO
LLQP: LIF, A&S, SFA, EPP (CL/Québec) + Comprehensive
FINRA: SIE, 6, 7, 22, 57, 79, 82, 99
NASAA: 63, 65, 66
CFA: L1–L3 (heavy vignettes)
CPA Canada: CFE (D1–D3)
U.S. CPA: AUD modes
PMI: PMP
IT & Cyber: CompTIA A+/Security+, CISSP
Cloud: AWS SAA-C03

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