Navigating the Regulatory Environment

This continuing education module educates students on the regulatory bodies and regulations that govern the distribution of securities in Canada. Students learn about the regulatory authorities including the Canadian Securities Administrators (CSA), the securities commissions and regulators at the provincial and territorial level, and the Self-Regulatory Organizations (SROs). They also learn about the legislation and regulations that these securities regulators enforce. The course also covers the other legislation and regulations that apply to the securities industry including those concerning anti-money laundering and terrorist financing, privacy, and other laws. The topics and principles discussed in the course are illustrated through hypothetical examples in order to reinforce learning.

Pricing

Standard Course Price $60

Course Information

COURSE DETAILS
Delivery Online
Language English
Suggested study time 3 hours
Enrolment period 1 year
Practice exam No

Click here!Have questions?

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
  • Regulatory Bodies
  • Securities Legislation and Regulations
  • Other Legislation and Regulations

FAQ

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You will receive an email from IFSE when your exam results are available. Exam results for paper-based and computer-based exams are available online within three to five business days following the exam if you have no outstanding fees. Exam results for online exams are available immediately upon submission.

You can access your exam results by logging into your IFSE account. Once you have logged in:

  • Select "Courses".
  • Select "Show me my Marks for this Course" (this link only appears when your results are available).

No, an online 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 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 exam with the exception of the Canadian Deposits Self-Study Course offered by the Registered Deposit Brokers Association (RDBA). Click here to view the cost to re-write the online exam for this course. You must contact us to pay the re-write fee. Once the re-write fee is paid, IFSE will reset your exam.

IFSE Institute cannot be held responsible for technical problems that you experience with your equipment or internet service. You can check out the user requirements here.

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