Chapter 3: Getting to Know the Client
In this section
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Information Required by Regulation and Law
Discover the essential data advisors must collect under Canadian KYC, AML, and privacy regulations—key to building compliant and trusted client relationships.
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Going Beyond the Regulatory and Legal Minimum
Learn how Canadian wealth advisors can ethically and holistically support clients beyond baseline regulations, leveraging scenario analysis, holistic planning tools, and ongoing communication to foster trust and lasting financial success.
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The Client Discovery Process
Learn how to gather, assess, and interpret essential client information to craft a holistic, tailored wealth management strategy.
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CSI / CIRO: CSC (1 & 2), CPH
Wealth: WME (1 & 2)
Mutual Funds: IFC
Portfolio: IMT (1 & 2), PMT, AIS
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Governance: PDO
LLQP: LIF, A&S, SFA, EPP (CL/Québec) +
Comprehensive
FINRA: SIE, 6, 7, 22, 57, 79, 82, 99
NASAA: 63, 65, 66
CFA: L1–L3 (heavy vignettes)
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U.S. CPA: AUD modes
PMI: PMP
IT & Cyber: CompTIA A+/Security+, CISSP
Cloud: AWS SAA-C03
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