Compliance for the Securities Industry Level I

This Level I three (3) day course provides the student an overview of regulatory bodies and the regulations that govern and operate the securities industry in Canada.

A generalist approach is applied in order to understand the industry’s critical and complex compliance structure and the requirements necessary to the success of the financial industry and the public’s ultimate trust for the system. This course demonstrates that everyone in this vast industry is responsible for the ethical and professional application of compliance in an investment or financial firm.

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 I
Day 1 Day 2
  • SRO's and their roles 
  • The obligations of the broker vs the client 
  • The obligations of the broker for employee actions

  • Compensation Loss or Measure of Damages
  • Account reviews
The origin of the unsecured deficit
  • Check kiting
  • Trading schemes
  • TSX
  • MX
  • other
Account Opening and Approval
  • Options Principles Registration
  • Required Approvals
Supervisory Duties
  • Written Supervisory Procedures
  • Designated Principal (DP)
  • Ultimate Designated Principal (UDP)
Strategies for Options
  • Options Purchase 
  • Covered-Calls-Cash-Margin
Day 3  
Restricted Securities and Control Securities
  • Forms for Acquisition 
  • Quantitative vs. Qualitative
Derivatives Securities
  • Pooling vs. Purchase Accounting
  • Risk Management and the role of the Broker and the Dealer
Client Accounts
  • Cash Accounts
  • Margin accounts
Maintaining and Margining:
  • Positions of Municipal bonds
  • Repurchase agreements


Compliance for the Securities Industry Level I

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 I

The benefit to the student is:

  • Gain in-depth understanding of the SRO's role in the market place and the rules and regulations that govern the investment and financial industries
  • Get practical knowledge of guidelines under which Securities Dealers operate
Compliance for the Securities Industry Level I

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


Compliance for the Securities Industry Level I