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.
Ethics for Exempt Market Dealer Representatives
Pricing
Standard Course Price | $160 |
Course Information
COURSE DETAILS
Delivery | Online |
Language | English |
Suggested study time | 8 hours |
Enrolment period | 1 year |
Practice exam | Yes, 20 questions |
Click here!Have questions?
WHO SHOULD ENROL
- Anyone working in the exempt market
EXAM DETAILS
Format | Online unproctored exam |
Time permitted | 60 minutes |
Question format | Multiple choice |
Passing grade | 60% |
Attempts allowed | 3 |
Click here! CE Credit Matrix
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

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Exam results for Computer-based Test Centre Proctored and Computer-based Online Proctored exams are available online within 2 business days following the exam if you have no outstanding fees.
Exam results for Online Unproctored exams are available immediately upon submission.
Exam results for Paper-based Proctored exams are available online within 3 to 5 business days if you have no outstanding fees.
When your grade has been released, you can access your exam results by logging into your IFSE account. Once you have logged in:
- Select “My IFSE”
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No, an online unproctored exam is an exam that is taken via www.ifse.ca. The exam is available 24/7 and may be completed from any location where there is internet access. You receive your grade immediately upon submission.

You can access your online unproctored exam by logging into your IFSE account. Once you have logged in:
- Select "Launch this Course".
- Once you launch the course, you can access your Examination or Assessment.

There is no cost to re-write an online unproctored exam with the exception of the Labour Sponsored Investment Funds Course (LSIF), Canadian Deposits Self-Study Course offered by the Registered Deposit Brokers Association (RDBA) and the 90 Day Training Course (3 attempts allowed for each of the 9 case study exams). Click here to view the cost to re-write the online exam for these courses. You must contact us to pay the re-write fee. Once the re-write fee is paid, IFSE will reset your exam.

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