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...
Getting Qualified and Registered This continuing education module educates students on the registration requirements for participants in the Canadian capital market. Students learn about the registration requirements and categories, the qualifications and requirements...
Understanding Your Business Conduct Responsibilities This continuing education module educates students on the areas of business conduct which relate to sales practices, conflicts of interest, and client complaints. Students learn about the obligations and...
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...
Ethics and Standard of Conduct This continuing education module educates students on the principles of ethics and the regulatory obligations concerning standard of conduct. Students learn about ethics and ethical standards, the standard of conduct required of...
