Chapter 6: Product Due Diligence, Recommendations, and Advice
In this section
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Suitability of Investments and Investment Strategies: Ensuring Client-Centric Recommendations
Explore the critical aspects of investment suitability, including assessing financial situations, investment objectives, risk tolerance, and client knowledge. Learn best practices for aligning investment strategies with client needs, maintaining compliance, and enhancing client relationships.
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Product Due Diligence: Comprehensive Guide for Investment Professionals
Master the essentials of product due diligence, including issuer analysis, product structure evaluation, risk assessment, performance history review, and regulatory compliance, to confidently recommend investments to clients.
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New Issues and Prospectus Exemptions: Navigating Regulatory Requirements and Exempt Market Opportunities
Explore the regulatory landscape of new securities issues in Canada, including detailed insights into prospectus requirements, exemptions such as Accredited Investor, Minimum Amount Investment, Private Issuer, and Offering Memorandum exemptions, and key compliance considerations for investment professionals.
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Take-over Bids and Issuer Bids: Understanding Regulatory Requirements and Best Practices in Canada
Explore the regulatory framework, disclosure obligations, and procedural requirements for take-over bids and issuer bids in Canada. Learn how to differentiate between these bids, understand minority shareholder protections, and effectively communicate bid-related information to clients.
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