Client Focus Reform

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%.