Chapter 8: Maintaining Client Accounts and Relationships

In this section

• Accounting for Client Transactions: Best Practices for Investment Dealers
  Explore essential accounting practices for investment dealers, including accurate transaction documentation, regulatory compliance, reconciliation processes, and internal controls to maintain client trust and meet CIRO standards.
• Margin Accounts Explained: Understanding Risks, Regulations, and Best Practices
  Explore margin accounts in-depth, including how they work, associated risks like margin calls, CIRO regulations, and best practices for managing client leverage effectively.
• Cash Accounts Explained: Settlement Rules, Regulations, and Best Practices
  Discover everything you need to know about cash accounts, including settlement cycles, CIRO regulations, and best practices for managing client transactions effectively.
• Communicating Trading Information to Customers: Essential Guidelines for Investment Dealers
  Learn the essential guidelines investment dealers must follow when communicating trading information to customers, including trade confirmations, account statements, CIRO regulations, and best practices for transparency and compliance.
• Client Complaints and Account Transfer Requests: CIRO Guidelines and Best Practices
  Explore comprehensive guidelines and best practices for handling client complaints and account transfer requests in Canada's investment industry, ensuring compliance with CIRO regulations and enhancing client relationships.