Chapter 9: Putting it All Together

In this section

• Good Conduct and Practices: Comprehensive Review for Securities Professionals
  Explore essential principles of good conduct and practices in the Canadian securities industry, emphasizing ethical standards, regulatory compliance, and professional integrity to enhance client relationships and mitigate risks.
• Investment Suitability and Client Management: Case Study of The Chengs' Accounts
  Explore a detailed case study of the Cheng family, illustrating effective client discovery, KYC assessments, suitability analyses, product due diligence, conflict management, and ethical investment practices.