Chapter 26: Working with the Retail Client
In this section
-
The Financial Planning Approach
Explore a complete, step-by-step framework for creating and maintaining a tailored financial plan for Canadian retail clients. Learn how to gather client information, clarify goals, strategize investments, and adapt to life changes through structured reviews.
-
The Life Cycle Hypothesis for Canadian Investors
A comprehensive guide to applying the Life Cycle Hypothesis in Canadian financial planning, covering strategies from early career accumulation to wealth transfer.
-
Estate Planning: Securing Your Legacy in Canada
A thorough examination of estate planning, wills, powers of attorney, and tax-minimizing strategies within the Canadian context.
-
Ethics and the Advisor’s Standards of Conduct
Explore how Canadian investment advisors uphold high ethical standards, adhere to disclosure requirements, and prioritize client interests under CIRO rules and provincial securities regulations.
Disclaimer: Securities Exams Mastery provides independent study materials to help students prepare
for exams administered by the Canadian Securities Institute (CSI). Our products and materials are
not affiliated with, sponsored by, or endorsed by the Canadian Securities Institute (CSI) or the
Canadian Investment Regulatory Organization (CIRO). All trademarks, including CSC®, CPH®, and
others, are the property of their respective owners.