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CMFASPrepStudyingRES5
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Financial advisory
RES5Financial Advisory Services✓An individual client meets the accredited-investor financial thresholds. Before the dealer can treat them as an AI, it must:
The SF (Classes of Investors) Regulations and related requirements make AI treatment for eligible individuals subject to an opt-in after disclosure of the protections they would forgo. Without the opt-in, the client remains retail with full protections.
Threshold + disclosure + opt-in — three steps, not one.
Practise more RES 2B Ethics, Codes & Standards for Derivatives Dealing questions
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