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    Canadian OTC Derivatives Market Reform

    Canadian Securities Institute (CSI)

    This course introduces the Canadian regulatory initiatives underway to implement the OTC derivatives market reform. See the attached document for further course details. ...

  • $75.00
    Credits
    Toronto

    Conflicts of Interest: Insider Trading

    Canadian Securities Institute (CSI)

    This course reviews the historical context of conflicts of interest in the investment industry and explains requirements under recent regulatory changes (such as the Client Relationship Model). In ...

  • N/A
    Credits
    Ongoing Activity

    Bringing New Issues to Market

    Canadian Securities Institute (CSI)

    LEARN HOW BRINGING NEW ISSUES TO MARKET CAN HELP YOU PERFORM YOUR COMPLIANCE OBLIGATIONS TO A HIGHER STANDARD Due diligence in connection with a public offering is the process by which underwriters ...

  • N/A
    Credits
    Ongoing Activity

    Ethics for Institutional Registrants

    Canadian Securities Institute (CSI)

    Ethics serves a critical role in the financial services industry. It complements the industry's comprehensive series of rules by providing a structure to interpret and evaluate any circumstance. While ...

  • N/A
    Credits
    Ongoing Activity

    Overview of Canadian Equity Trading Market Places and Rules

    Canadian Securities Institute (CSI)

    Your job as an investment representative is directly affected by the various operations of traders. You may have to deal with in-house traders who execute your clients’ orders or with traders on the ...

  • N/A
    Credits
    Ongoing Activity

    Integrity of the IR

    Canadian Securities Institute (CSI)

    In this course you will learn the history of the discount brokerage industry and understand the driving forces behind industry growth. You will also learn about the ever-changing regulatory landscape ...

  • $50.00
    Credits
    Toronto

    Guidelines for IIROC IRs Using Social Media

    Canadian Securities Institute (CSI)

    In this course a guide for financial professionals who want to use social media to keep their clients satisfied and grow their business. After completing this course you should be able to communicate ...

  • N/A
    Credits
    Ongoing Activity

    Enhanced Suitability for IIROC Advisors

    Canadian Securities Institute (CSI)

    COURSE OUTLINE Lesson 1: What is Suitability (or the Suitability Rule?) Define suitability Identify regulatory and legal responsibilities governing suitability Understand how suitability ...

  • N/A
    Credits
    Ongoing Activity

    Conflicts of Interest

    Canadian Securities Institute (CSI)

    This course reviews the historical context of conflicts of interest in the investment industry and explains requirements under recent regulatory changes (such as the Client Relationship Model). The ...

  • N/A
    Credits
    Ongoing Activity

    Working with Aging clients: Best Practices and Compliance Guidance

    Canadian Securities Institute (CSI)

    Given that a disproportionate number of disciplinary proceedings against advisors in recent years in Canada and the United States involved investors that were 60 years of age or older (“senior ...

  • $210.00
    Credits
    Ongoing Activity

    International Taxation for Canadians

    Canadian Securities Institute (CSI)

    With more Canadians investing and spending extended amounts of time outside of Canada, the complexity of their taxation needs has evolved and grown to reach beyond the domestic borders of Canada. ...

  • N/A
    Credits
    Ongoing Activity

    ETFs for Mutual Fund Representatives

    Canadian Securities Institute (CSI)

    This course is designed for individuals who are currently licensed as mutual fund dealing representatives. Employees and agents who participate in the sale of mutual funds for a mutual fund dealer to ...

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