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Exempt Market Proficiency Course (EMP)

Exempt Market Proficiency Course (EMP)

Exempt Market Proficiency Course (EMP) The Exempt Market Proficiency Course is a proficiency requirement for those individuals seeking registration as Exempt Market Dealers – Dealing Representatives and Chief Compliance Officers. The EMP course introduces...
Canadian Compliance Course (CCC)

Canadian Compliance Course (CCC)

Canadian Compliance Course (CCC) The Canadian Compliance Course (CCC) is the IFSE proficiency course for those who aspire to become Chief Compliance Officers. The CCC replaces the former Officers, Partners, and Directors Course and the Mutual Fund Dealers Compliance...
Accredited Investor and Offering Memorandum Exemption Case Study

Accredited Investor and Offering Memorandum Exemption Case Study

Accredited Investor and Offering Memorandum Exemption Case Study The Accredited Investor (AI) and Offering Memorandum (OM) Exemption Case Study has been developed for professionals who participate in the exempt market in Canada and those who want to learn about the...
Ethics for Exempt Market Dealer Representatives

Ethics for Exempt Market Dealer Representatives

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...