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The Client Focused Reforms (CFR) Training course provides an overview of the regulatory requirements introduced under National Instrument 31-103 (NI 31-103) and the expectations established by the Canadian Securities Administrators (CSA) and the Canadian Investment Regulatory Organization (CIRO).
This course explores the core principles of Conflicts of Interest (COI), Know Your Client (KYC), Know Your Product (KYP), suitability determinations, compliance systems, and training obligations. Participants will also review key findings and regulatory guidance from the CFR Phase 1 and Phase 2 sweeps conducted by CSA and CIRO.
Designed for advisors, compliance professionals, and supervisory staff, this training supports a strong client-first approach and helps participants understand their responsibilities in meeting current regulatory standards.
Participants must complete the accompanying assessment with a passing grade of 80%.
This course provides a comprehensive and practical understanding of structured products, with a focus on Principal at Risk Notes (PAR), Principal Protected Notes (PPN), and market-linked GICs. It is designed to equip advisors with the knowledge, discipline, and confidence required to evaluate, recommend, and manage structured solutions within client portfolios.
Participants will gain clarity on how structured products function, including autocallable strategies and contingent income structures. The course explains how returns are generated, how risks are managed, and how key features such as barriers, call thresholds, and coupon mechanisms influence outcomes.
The program also introduces a structured approach to due diligence, client communication, and recordkeeping. Advisors will learn how to assess product suitability, compare offerings across issuers, and maintain a disciplined investment process aligned with client objectives and regulatory expectations.
By the end of this course, advisors will be able to:
- Understand the mechanics of PAR+, PARc, PPN, and market-linked GICs.
- Evaluate structured products based on underlying assets, barriers, and payout structures.
- Apply best practices for product selection and portfolio integration.
- Conduct proper due diligence and maintain compliant documentation.
- Communicate product features and risks clearly to clients.
The course concludes with a knowledge assessment to reinforce key concepts and ensure practical understanding of structured product strategies.
This course provides a comprehensive introduction to the world of private market investing and the alternative investment strategies increasingly used by institutional investors, family offices, and high-net-worth individuals.
Participants will explore the foundations of private markets, including private equity, private credit, infrastructure investments, and Special Purpose Acquisition Companies (SPACs). The course examines how private market investments are structured, financed, managed, valued, and incorporated into diversified investment portfolios.
Throughout the program, learners will gain insight into the advantages and risks of private market investing, investment vehicles and fund structures, partnership agreements, portfolio construction principles, due diligence processes, valuation methodologies, and performance measurement techniques. The course also explores the role of fund managers, governance frameworks, investor protections, and best practices that contribute to long-term investment success.
Designed for financial professionals, investors, advisors, and individuals seeking advanced investment knowledge, this course combines practical applications with institutional-level concepts to provide a well-rounded understanding of alternative investments.
By the end of the course, participants will be equipped with the knowledge and analytical framework needed to evaluate private market opportunities, understand their role within modern portfolios, and make more informed investment decisions in an increasingly complex financial landscape.
