Conflicts of Interest Case Study

This continuing education module educates students on the obligations related to conflicts of interest and how registrants in the securities industry are required to address conflicts of interest. Students learn about the regulations and rules governing conflicts of interest, the methods for addressing conflicts of interest, the common business activities in the securities industry which give rise to conflicts of interest, and prohibited practices related to conflicts of interest. Students learn the topics and principles in the course by completing an interactive case study.

Pricing

Standard Course Price $80

Course Information

COURSE DETAILS
Delivery Online
Language English
Suggested study time 4 hours
Enrolment period 1 year
Practice exam No

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WHO SHOULD ENROL
  • Compliance professionals
  • Scholarship plan dealers
  • Portfolio managers
  • Investment fund managers

EXAM DETAILS
Format Online
Time permitted 30 minutes
Number of questions 10
Question format Multiple choice
Passing grade 60%
Attempts allowed 3
Click here!CE Credit Matrix
WHAT WILL I LEARN
  • Conflicts of Interest
  • Prohibited Practices

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