Chapter 5: Client Discovery and Account Opening

In this section

• Opening Accounts: Comprehensive Guide to CIRO Compliance and Best Practices
  Explore the detailed process of opening investment accounts in Canada, including CIRO compliance, AML and ATF regulations, client identification, and best practices for securities professionals.
• New Account Application Form (NAAF): Essential Guide for Client Account Opening in Canada
  Explore the comprehensive guide on the New Account Application Form (NAAF), covering essential client information, regulatory compliance, suitability assessments, and best practices for Canadian investment professionals.
• Completing the New Account Application Form (NAAF): Essential Guidelines and Best Practices
  Learn how to accurately complete the New Account Application Form (NAAF), ensuring regulatory compliance, effective client relationship management, and alignment with client investment objectives and risk tolerance.
• Disclosures in Securities Industry: Ensuring Transparency and Client Protection
  Explore the essential role of disclosures in the Canadian securities industry, including clear communication of fees, commissions, conflicts of interest, and investment risks. Learn best practices for advisors and firms to maintain compliance with CSA Client Focused Reforms.
• Client Records: Essential Record-Keeping Practices for Investment Professionals
  Learn the critical importance of maintaining accurate, complete, and secure client records in compliance with CIRO Rule 3800 and Canadian privacy laws. Explore best practices, cybersecurity measures, and practical examples for effective client record management.