Measures to Protect Investors

Confident investors can make great clients. They know industry safeguards are in place to protect their financial interests, despite market activity and volatility. Investor protection is one of those safeguards and a foundational principle of the Canadian investment and insurance sectors. These sectors reinforce their principles with regulation and initiatives designed to put client interest first.

To build and maintain investor confidence in the system and its products, through this course, you can build your knowledge of safeguards such as:

• Remedies for investor complaints;
• Use of titles in the industry;
• CRM3 (total cost reporting)

You will also review long-standing requirements for disclosure, risk assessment, conflict of interest management, and measures of vulnerability. On conclusion, you will have new confidence in the respect your industry shows for client interest through the measures it has implemented.