Conflicts of Interest Course and 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...
Opening New Accounts This continuing education module educates students on the responsibilities and duties when dealing with new clients. Students learn about establishing the relationship with the client, completing the new account documents, setting up new accounts,...
Leverage Suitability Course and Case Study This continuing education module educates students on the suitability obligations related to leverage, where an investors borrows money in order to invest. Students learn about the leverage suitability obligation, how to...
Avoiding Prohibited Practices This continuing education module educates students on the practices that are prohibited by registrants in the securities industry. Students learn about prohibited activities under the Criminal Code of Canada and prohibited practices under...
Knowing Your Suitability ObligationsThis continuing education module educates students on the Know Your Client (KYC), Know Your Product (KYP), and suitability obligations. Students learn about the KYC requirements and learning the essential facts about the client, the...