How Advisers Work: KYC, AML, IPS, and the Onboarding Process
What actually happens when you open an account with an adviser -- Know Your Client, Anti-Money-Laundering checks, the Investment Policy Statement, and the onboarding workflow that ties them together. This path teaches the process from the investor's seat: what a firm collects from you and why, what each step is screening for, and how to tell a careful adviser from a careless one. It is not training for the job; it is the literacy that lets you evaluate the people you hand your money to.
Before this course
These cover the assumed background. You can start here anyway — nothing is locked.
Professional Ethics: How Investment Professionals Are Supposed to Behave
Lessons in this course
Work through them in order, or jump to whichever fits where you are. Every lesson is free and saves your progress locally.
- 01Know Your Client (KYC): The Questions Before Any Advice
- 02Anti-Money Laundering (AML): The Checks Behind Your Account
- 03Investment Policy Statement (IPS): A Contract With Yourself
- 04Client Onboarding: From First Call to Funded Account
- 05Annual Reviews and Portfolio Drift Monitoring
- 06Difficult Client Conversations: Drawdowns, Risk, Lifecycle
- 07Long-form Investment Memo Structure
- 08Catalysts and Downside Cases
- 09Valuation Triangulation
- 10Brainteasers and Quant Reasoning