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EXAM-WRITING SKILLS VS. KNOWLEDGE OF THE MATERIAL ..................1 INTRODUCTION..............................................................................................................2 CHAPTER 1: THE CLIENT-SERVICE PROCESS .....................................................3 The Preparation for Client Services (Chapters 2, 3, and 4) ................................3 Ascertaining Client Needs (Chapter 5) ..................................................................5 Disclosure (Chapter 6).............................................................................................6 Provision of Advice and Follow-Up (Chapter 7) ....................................................................... 7 Client Relations with the Branch Compliance Officer (Chapter 8) ...................7 The Sales Representative and the Branch Compliance Officer and Order Execution (Chapter 9) .............................................................................................7 The Branch Compliance Officer and the Head Office (Chapter 10)..................8 The Branch Compliance Officer Control and Supervision (Chapter 11) ..........8 National Instrument 81-102 and MFDA Policy No. 2 Minimum Standards for Account Supervision (Appendix)............................................................................9 THANK YOU FOR VIEWING THE DEMO!................................................................9