For Client Meetings
Client File

Client FIle | Checklist

guideline i complete Client file

ADVISOR DISCLOSURE

REASON WHY LETTER

For Client - Needs
‍Client Analyses

INDIVIDUAL | NEEDS ANALYSIS

INDIVIDUAL | NEEDS ANALYSIS | Example

REPLACEMENT DISCLOSURE

REPLACEMENT DISCLOSURE | EXample

KYC - Know Your client | Coming soon

Sales SUITABILITY Summary | Seg Funds

Compliance Documents
Guidelines, Politics & Standards

COde of Ethics | Professional Conduct

Code of conduct | Principles

advisor monotoring

Complaint Process

Office security

offsite workspace guideline

clean desk policy

retention i client file record

Anti-money laundering

MATTER OF PRIVACY

CASL & DO-NOT-CALL LISTS

Fintract - Requirements

Technology Security
Cyber Attack | You & Your Business

acceptable use of technology standard

Security Guidelines | Mobile Phone

client data protection

Cyber SECURITY | Checklist

Cyber Attack | Learn More...

Get CYBER Safe | Canadian Government

Ways to Reduce the Risk of a Cyber-Attack

Norton Cyber Security

Protect yourself against cyber-attacks

MORE ... About Compliance

CLHIA | advisor ressources

Advocis | Advisor ressources

Financial Horizon | advisor ressources