This in-depth two (2) day Level III course provides the student a critical study of the regulations that govern and operate the securities industry in Canada.

A critical view of the legal and compliance department of a securities firm is organised and operates is analysed in the context of the total regulatory framework.

Today's compliance for the financial industry is extremely critical and complex and it is incumbent on each staff member of any financial institution to gain a deeper understanding of this important aspect of the industry.

All course materials are provided. Upon confirmation of registration, the student will receive a free one-year subscriptionto Investment Executive, Canada's Newspaper for Financial Advisors.

No sessions currently available. Contact client services: info@smartenupinstitute.com to get the next available date.
 

This course should be of particular interest to:

• Persons needing to understand the complex nature of Compliance
• Persons needing Compliance credits
• IA’s, IA Assistants, Correpondents, Carrier Adminstrators, Investment Managers, Brokers, Financial Consultants, Bank Administrators, etc.
• Operational and administrative staff particular to the financial and securities industry compliance areas
• Accountants
• Auditors
• Securites Lawyers
• Employees of regulatory agencies
• Institutional client personnel
• Industry vendors' employees

In preparation for this course we recommended :

• Compliance for the Securities Industry Level I
• Compliance for the Securities Industry Level II

Follow up courses recommended are:

• Inside Canada’s Securities Industry
• Global Securities: Trading & Settlement
• Science of ETF's

The benefit to the student is:

• Get a critical perspective of the practice of sales and supervision
• Case studies of the complex nature of compliance requirements for federal, regional and provincial levels

Day 1	Day 2
Regulatory Structure Securities Act the Rule Book Compliance Procedures Reviews for Churning  Solicitation Plans Chinese Wall Policy Internal Audit Sales Literature and Promotion Approvals and Reviews Special Products	Options Registered  Statutory vs. Non-statutory Margin extended against: Control Securities Purpose vs. Non-purpose Loans EXAM