There’s lots to know around Client Focused Reforms, so we’ve created educational assets to help simplify your learning.

CFR Part I: conflicts of Interest (COI)

Curious about what could result in conflicts of interest between advisors and clients? Click below to see the full list of possible sources of conflict. For more information, dive into our Client Focused Reforms Training: Introduction to Conflicts of Interest video (link).

Got conflict? Learn how to determine whether or not a material conflict exists, and which steps to take next. Click below to open the Conflict Decision Tree. For more information, dive into our Client Focused Reforms Training: Got Conflict? video (link).

Learn more on how to address material conflicts after identifying them. Click below for the full infographic. For more information, dive into our Client Focused Reforms Training: Addressing Material Conflicts of Interest video (link).

Learn more on how to obtain your dealer’s consent on how to proceed when a material conflict arises. Click below for the full infographic. For more information, dive into our Client Focused Reforms Training: Reporting Material Conflicts to Your Dealer video (link).

Violating Conflicts of Interest (COI) rules is very serious and can lead to numerous consequences. Learn the major consequences for violating COI rules below.

For more detail on Consequences for Violating COI Rules, click below for the full infographic.

CFR Part II: KYC, KYP, Suitability Determination

Learnedly's Client Focused Reforms Chief Compliance Officer (CCO) Edition Part I and Part II courses are for anyone that really needs to sink their teeth into the Conflicts of Interest, Know Your Client (KYC), Know Your Product (KYP) and Suitability Determination sections of National Instruments (NI) 31-103: Registration Requirements, Exemptions and Ongoing Registrant Obligations.

Straight up. Technical. And completely built on the Companion Policy of Section 13.

Below are a few of the videobooks from Part II: KYC, KYP and Suitability Determination.

More Videos!

Interested in video learning? Check out our YouTube channel to watch more videos on Conflicts of Interest, and more.