Chapter 6: Product Due Diligence, Recommendations, and Advice

In this section

• Suitability of Investments and Investment Strategies
  Learn how to align investment recommendations with clients’ goals, risk tolerance, and personal circumstances for compliant, ethical advising.
• Product Due Diligence
  Explore essential steps, best practices, and real-world stories for conducting robust product due diligence in the Canadian securities industry. Boost your understanding of issuer analysis, product structures, risk assessments, performance evaluation, and ongoing compliance to confidently recommend suitable investments.
• New Issues and Prospectus Exemptions
  Discover how new securities issues come to market in Canada, the importance of prospectus requirements, and how various exemptions can facilitate capital raising while balancing investor protection.
• Take-over Bids and Issuer Bids
  Explore the fundamentals, regulations, and practical considerations of Canadian take-over bids and issuer bids, including their procedural requirements, investor protections, and critical disclosure guidelines.