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About

The Client Focused Reforms (CFRs) are a suite of amendments that represent a continued evolution of the original Fair Dealing Model (FDM) initiative created by the Ontario Securities Commission in 2004. These measures have sought to enhance investor protection through the implementation of enhanced client disclosure requirements and prescriptive rules and guidance pertaining to such matters as Know Your Client (KYC), suitability, and Know Your Product (KYP). Changes have also taken place among other regulations and the regulators themselves. It has never been more important for registrants to keep abreast of these changes in the regulatory space.   

In this course, we provide an overview of the CFRs with a focus on the relationship disclosure obligations that registrants have to clients. We also look at other changes to the regulatory environment in areas such as outside activities, vulnerable clients, and the creation of a single Self-Regulatory Organization (SRO). We conclude with a focus on ethical conduct and the consequences of noncompliance. 

Who should enrol?

This CE course is suitable for investment advisors, mutual fund representatives, portfolio managers, exempt market dealing representatives, wealth managers and others within the financial services industry who would like to learn more about responsible investment.

Individuals licensed to sell securities that are subject to CE requirements. 

Benefits

The Keeping up with Regulatory Change online mini-course course meets the CSA’s CFR training mandate as well as satisfying continued education compliance requirements for CIRO and other jurisdictions.