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 | $69 |
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
Personnel and registered individuals of registered firms including:
- mutual fund dealers
- exempt market dealers
- scholarship plan dealers
- portfolio managers
- investment fund managers
EXAM DETAILS
| Format | Online unproctored exam |
| 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
FAQs
How do I register for a course?Follow these instructions.
- Choose the LOGIN/REGISTER box.
- For returning students, login using your username and password. Choose “Enrol in a Course” in the menu bar.
For new students choose "Become a Student" and supply all mandatory information in the following screens. - If you have a contract code and password, enter it where required and click "Yes". If you do not have a contract code, click "No".
- Choose the course you want to enrol in. Click “Next”.
- If optional products are available for purchase, they will appear for you to choose. Click “Next”.
- 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.
- Verify your shopping cart information and click on "Process Payment".
- Review the Terms and Conditions completely. 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.
- 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.
How do I get my exam results?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:
- Choose “My IFSE”
- Choose “Courses”
- Choose “Show me my Marks for this Course” (this link only appears when your results are available).
Do I need to register for an online unproctored exam?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.
How do I take an online unproctored exam?You can access your online unproctored exam by logging into your IFSE account. Once you have logged in:
- Choose "Launch this Course".
- Once you launch the course, you can access your Examination or Assessment.
What is the cost to rewrite an online unproctored exam?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.
What happens if my computer crashes during an online unproctored 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.
