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The Canadian Investment Regulatory Organization (CIRO) has proposed changes to its proficiency rules including changes to the current mandatory courses offered by the Canadian Securities Institute (CSI). Under these proposed rules, subject to approval by the Canadian Securities Administrators (CSA), CIRO will be moving towards an assessment centric proficiency model for Approved Persons of Investment Dealers. For more information on CIRO’s proposed rules, please refer to the CIRO website. If you have any questions on how the proposed changes may impact you, please reach out to proficiency@ciro.ca.

About

In a complex and evolving financial landscape, professionals must stay knowledgeable and compliant with the changing rules and regulations as laid out by the provincial securities administrators and the Canadian Investment Regulatory Organization (CIRO). The Conduct and Practices Handbook Course (CPH®) helps demystify the regulatory environment, providing you with a clear and current understanding of the rules, regulations, practices and ethics that will guide you through your career as an investment advisor or representative.

What skills will you develop?

  • Compliance with regulatory requirements including CIRO proficiency requirements
  • Demonstrated commitment to ethical practice and decision making
  • A keen understanding of standards of conduct
  • Deeper knowledge of securities rules and legislation

Who should enrol?

Enrol in the CPH® if you:

  • Are subject to meeting CIRO registration proficiency requirements that include this course
  • Are a financial services professional
  • Want a broader understanding of regulations governing securities professionals

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