Compliance for the Securities Industry Level II

This intensive two (2) day Level II course provides the student an in-depth review of regulatory bodies and the regulations that govern and operate the securities industry in Canada. The way in which 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 subscription to Investment Executive, Canada's Newspaper for Financial Advisors.

Compliance for the Securities Industry Level II
Day 1 Day 2
National Registry
  • Licensing Requirements for Brokers
  • Qualifications for the Security Industry
Special Rules
  • Supervision 
  • Branch or Office Control
Written and Oral Offers
  • Statement of Registration 
Activiaty limits for firms engaged in distribution
  • the Watch List 
Confirmation Disclosure
  • Soft Dollars
  • Centralized
  • Regionalized
  • Products 
  • Accounts 
Client complaints
  • Regulatory
  • Responses


  • Exam

Compliance for the Securities Industry Level II

This course should be of particular interest to:

  • Persons presently outside the industry looking to increase specific financial knowledge or seek entry to the industry
  • 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
  • Investment firm IT staff new to the financial and/or securities industry
  • Investment firm staff with limited knowledge of compliance for the financial industry
  • Employees of regulatory agencies
  • Institutional client personnel
  • Industry vendors' employees

Compliance for the Securities Industry Level II

The benefit to the student is:

  • Gain a fundamental understanding of how the Capital Markets work
  • et a comprehensive perspective of the practice of sales and supervision
  • Gain an understanding of the compliance requirements for federal, regional and provincial levels
Compliance for the Securities Industry Level II

No sessions currently available. Contact to get the next available date.


Compliance for the Securities Industry Level II