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What will you learn about?

Recent changes and new standards have led to a greater emphasis on compliance protocols. The Investment Dealer Compliance Course is a two-part course designed to provide individuals with the background knowledge required to pursue a career in compliance.

Part I Provides the foundational knowledge required for the role of a compliance officer. You will learn:

  • The role of compliance and the regulatory environment
  • Industry structure and processes
  • Risk management techniques
  • Formal compliance structure
  • Policies and procedures
  • Complaints and recordkeeping requirements
  • Supervision and monitoring techniques
  • How to handle regulatory investigations
  • Soft skills

Part II provides an opportunity for the students to apply their knowledge in a series of compliance scenarios. After completing part II, you will be able to:

  • Understand compliance violations in both retail and institutional account settings
  • Identify possible compliance violations including lack of suitability, insider trading and manipulative trading
  • Identify and analyze the additional information required to determine whether a compliance violation has occurred
  • Determine the appropriate course of action

What is the course syllabus?

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Chapter 1 - So you Want to be a Compliance Officer

Topics covered in this chapter are:

  • INTRODUCTION
  • OVERVIEW OF THE COMPLIANCE FUNCTION
  • COMPLIANCE OFFICER QUALIFICATIONS AND SKILLS

Chapter 2 - The Role of Compliance

Topics covered in this chapter are:

  • INTRODUCTION
  • DEFINITION OF COMPLIANCE
  • WHAT IS A CULTURE OF COMPLIANCE?
  • ROLES OF KEY INTERNAL PLAYERS

Chapter 3 - Canada’s Regulatory Environment and Securities Law

Topics covered in this chapter are:

  • INTRODUCTION
  • THE PURPOSE OF REGULATION
  • KEY LEGISLATION AND PLAYERS IN SECURITIES REGULATION
  • CRIMINAL LAW OFFENCES AND PENALTIES
  • CIVIL AND COMMON LAW OBLIGATIONS AND CONCEPTS

Chapter 4 - Full-Service Brokerage

Topics covered in this chapter are:

  • INTRODUCTION
  • THE EVOLUTION OF THE FULL-SERVICE BROKERAGE BUSINESS
  • SUITABILITY, KNOW YOUR CLIENT, AND KNOW YOUR PRODUCT
  • ACCOUNT TYPES AND SOURCES OF REVENUE
  • PROFITABILITY DRIVERS
  • FULL-SERVICE BROKERAGE COMPLIANCE

Chapter 5 - Online Brokerage

Topics covered in this chapter are:

  • INTRODUCTION
  • ONLINE INVESTMENT SERVICES
  • KEY RISKS FOR ONLINE INVESTMENT BUSINESSES
  • KEY SUCCESS FACTORS FOR ONLINE INVESTMENT BUSINESSES
  • MEASURES AND TRENDS

Chapter 6 - Investment Banking Business

Topics covered in this chapter are:

  • INTRODUCTION
  • STRUCTURE OF INVESTMENT BANKING
  • INVESTMENT BANKING FUNCTIONS
  • TRENDS AND CHALLENGES

Chapter 7 - Risk Management

Topics covered in this chapter are:

  • INTRODUCTION
  • RISK MANAGEMENT OVERVIEW
  • TYPES OF RISK
  • LINES OF BUSINESS
  • ASSESSING AND MANAGING RISK

Chapter 8 - Formal Compliance Structure

Topics covered in this chapter are:

  • INTRODUCTION
  • COMPLIANCE DEPARTMENT MANDATE AND THE ASSIGNMENT OF COMPLIANCE RESPONSIBILITIES
  • ROLES AND RESPONSIBILITIES
  • COMPLIANCE STRUCTURE
  • COMPLIANCE GOVERNANCE DOCUMENT

Chapter 9 - Registration

Topics covered in this chapter are:

  • INTRODUCTION
  • INDIVIDUAL REGISTRATION & APPROVAL AND RELATED PROFICIENCY REQUIREMENTS
  • CONTINUING EDUCATION AND OTHER REGISTRATION CONSIDERATIONS
  • THE NATIONAL REGISTRATION DATABASE
  • JURISDICTIONAL REGISTRATION ISSUES

Chapter 10 - Development of Policies and Procedures

Topics covered in this chapter are:

  • INTRODUCTION
  • REGULATORY REQUIREMENTS
  • DEVELOPMENT AND AMENDMENT PROCESS
  • CONTENT AND FORMAT
  • IMPLEMENTATION, DISSEMINATION, AND REVISION

Chapter 11 - Client Accounts and Supervision

Topics covered in this chapter are:

  • INTRODUCTION
  • CLIENT FOCUSED REFORMS
  • KNOW-YOUR-CLIENT AND SUITABILITY CONSIDERATIONS
  • CONFLICTS OF INTEREST AND DISCLOSURE
  • FIDUCIARY DUTY (AND MANDATARY)
  • THE NEW ACCOUNT APPLICATION FORM
  • ACCOUNT TYPES AND ISSUES RELATED TO ACCOUNT OPENING
  • GUIDELINES FOR SUPERVISING ACCOUNTS

Chapter 12 - Recordkeeping Requirements

Topics covered in this chapter are:

  • INTRODUCTION
  • SELF-REGULATORY ORGANIZATION RECORDKEEPING REQUIREMENTS
  • FINTRAC REPORTING AND RECORDKEEPING REQUIREMENTS
  • PIPEDA AND PROVINCIAL PRIVACY LEGISLATION REPORTING AND RECORDKEEPING REQUIREMENTS
  • GENERAL RECORDKEEPING REQUIREMENTS

Chapter 13 - Addressing Client Complaints

Topics covered in this chapter are:

  • INTRODUCTION
  • PREVENTING CLIENT COMPLAINTS
  • ESTABLISHING THE RELATIONSHIP
  • TYPES OF CLIENT COMPLAINTS
  • REGULATORY COMPLAINTS – REQUIRED PROCEDURES
  • ADDITIONAL CLIENT COMPLAINT VENUES

Chapter 14 - Investment Banking and Trade Desk Compliance

Topics covered in this chapter are:

  • INTRODUCTION
  • INSTITUTIONAL VS. RETAIL BUSINESS LINES
  • INVESTMENT BANKING
  • THE RESEARCH DEPARTMENT
  • EQUITY AND FIXED INCOME TRADING
  • COMPLIANCE AND SUPERVISION PROGRAM FOR DERIVATIVES AND COMPLEX PRODUCTS

Chapter 15 - Monitoring

Topics covered in this chapter are:

  • INTRODUCTION
  • MONITORING AND SURVEILLANCE SYSTEMS
  • FORMAL MONITORING TECHNIQUES
  • KEY CONTROL POINTS
  • RETAIL ACTIVITY MONITORING AND SURVEILLANCE

Chapter 16 - Regulatory Investigations

Topics covered in this chapter are:

  • INTRODUCTION
  • INTERNAL INVESTIGATIONS
  • EXTERNAL INVESTIGATIONS
  • INVESTIGATIONS BY OTHER LEGAL AND REGULATORY AUTHORITIES

Chapter 17 - Soft Skills

Topics covered in this chapter are:

  • INTRODUCTION
  • COMMUNICATION SKILLS
  • HANDLING DIFFICULT CONVERSATIONS
  • ADDITIONAL SOFT COMMUNICATION SKILLS
  • EMOTIONAL INTELLIGENCE QUOTIENT (EQ)
  • CONCLUSION

How will you learn?

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

  • Textbook readings available in PDF and printed format
  • Course materials accessed through your computer or laptop
  • Learning objectives that help you to keep the learning focused
  • Online assistance from CSI’s academic support specialists

Course Completion

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. Please note that a certificate will not be issued upon completion of this course.

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