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Chapter 3: Getting to Know the Client

In this section

  • 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.
  • 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.
  • The Client Discovery Process
    Learn how to gather, assess, and interpret essential client information to craft a holistic, tailored wealth management strategy.