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.
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Regulatory Structure
Compliance Procedures
Internal Audit
Sales Literature and Promotion
Special Products
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Options
Margin extended against:
EXAM |
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
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
No sessions currently available. Contact client services: info@smartenupinstitute.com to get the next available date.
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