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What will you learn about?

  • The capital markets and the exempt market 
  • The all-important know-your-client (KYC) and know-your-product (KYP) rules 
  • Ethical conduct, the private placement process, how different issuers are structured 
  • Compliance requirements and features of common exempt securities. 

What is the course syllabus?

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Overview of the capital markets

Regulatory framework

Compliance for exempt market dealers

Dealing with clients

The private placement process

The structures of issuers

Real estate and mortgage investments

Flow-through shares

The mining industry

The oil and gas industry

Hedge Funds

Know your client and suitability

How will you learn?

CSI’s online learning system helps you meet your study goals. You’ll benefit from:

  • Textbook readings available in PDF
  • Course materials accessed through your computer, laptop, tablet, or phone
  • Learning objectives that help you to keep the learning focused
  • Course updates to ensure that the learning material reflects the most current and best practical material
  • Assistance from CSI’s academic support specialists

Course Completion and Wall Certificate

Upon successfully completing this course, you will be able to download a Notice of Course Completion available through your student profile. This will remain on your profile as formal confirmation of course completion.

CSI will mail you a wall certificate within 4 – 6 weeks of course completion. Please ensure that your First and Last Name on your profile matches your First and Last Name on your Government Issued Photo identification – this will ensure you receive an accurate certificate.

CSI will be pleased to issue an Honours Certificate to all students who obtain a final course mark of 85% or higher.