Ethics for Exempt Market Dealer Representatives

This unique program was developed for Representatives working for Exempt Market Dealers. The objectives of the course are to emphasize the importance of ethical conduct and to provide concrete examples of proper and improper conduct. The course includes several case studies based on actual enforcement cases involving EMD representatives. Pre-recorded videos are included with the course materials.

Pricing

Standard Course Price $150

Course Information

COURSE DETAILS
Delivery Online
Language English
Suggested study time 8 hours
Enrolment period 1 year
Practice exam Yes, 20 questions
EXAM DETAILS
Format Online
Time permitted 60 minutes
Number of questions 20
Question format Multiple choice
Passing grade 60%
Attempts allowed 3

WHO SHOULD ENROL
  • Anyone working in the exempt market
WHAT WILL I LEARN
  • What is ethics?
  • Trading without being registered
  • Sale of exempt securities to non-accredited investors
  • Unsuitable recommendations, know-your-client and know-your product
  • Prohibited representations
  • Recommending the use of leverage
  • Marketing materials
  • Off-book trades
  • Managing conflicts of interest
  • Selling securities of issuers related to the EMD
  • Outside business activities

FAQ

If you have never taken a course with the IFSE Institute, please follow the steps below. If you have taken an IFSE course before, please log into your existing account with your username and password, click on ENROL IN A COURSE and begin at Step #4.

  1. From the homepage (www.ifse.ca) click on the button "LOGIN/REGISTER".
  2. Then click "Become a Student".
  3. Supply all mandatory fields (indicated by a * next to the field) and click "Next" to proceed.
  4. If you have been given a contract code and password by your organization, enter it where required and click "Yes". If you do not have a contract code, click "No".
  5. Select the course name that you want to enrol in.
  6. Enter the quantity of any optional products that you wish to purchase and click “Next”.  If you do not wish to purchase any optional products click “Next”
  7. Complete your profile information as indicated on the screen. Take care in completing your mailing and shipping address to ensure that any materials that you have ordered will be delivered promptly and correctly. Click the  "Save" button to proceed to the shopping cart.
  8. Verify your shopping cart information and click on "Process Payment".
  9. Review the Terms and Conditions completely.
  10. To accept the Terms and Conditions, check the box and click "Yes". If you do not want to accept the Terms and Conditions, click "No". Your course enrolment will be cancelled.
  11. Provide your credit card information and click on "Pay Now". Please do not touch the screen until your payment has been processed. A copy of the receipt will appear and can be printed for your records. The receipt will also be stored in your student record for future reference.

Yes, you may request a course extension of 3 months. You are entitled to one course extension per enrolment. Course extensions for Investment Banking and Exempt Market Programs are subject to an $85 (plus tax) fee. Course extensions for Insurance programs are subject to a $70 (plus tax) fee. A course extension must be purchased at least 15 calendar days prior to (and not including) the course expiration date. Note: Continuing Education (CE) courses are not eligible for course extensions.

All content-related inquiries may be sent to coursequestions@ifse.ca. Please be sure to include the following information so we may better assist you:

  • Student name
  • Student number
  • Course you're enrolled in
  • Exact location of question in the course (unit, lesson, page title)
  • Your question

You will be entitled to a partial refund of your course enrolment fees if you cancel your web-based course within 15 calendar days of enrolling (including the registration date) or your paper-based course within 30 calendar days of enrolling (including the registration date).

IFSE charges a $75 (plus tax) administration fee on all eligible course cancellations.

You are not eligible for a refund if you have completed an examination attempt.

Note: The Life License Insurance Qualification Course (LLQP) and all Continuing Education (CE) courses are not eligible for refunds.

Other Relevant Courses

You may be interested in these other IFSE courses.

Exempt Market Proficiency Course (EMP)Officers’, Partners’, and Directors’ Course (OPD)