What will you learn about?

  • The role of compliance and the regulatory environment
  • Risks faced by investment dealers
  • Leadership and making ethical decisions
  • Formal compliance structure
  • Developing policies and procedures
  • Monitoring and recordkeeping
  • Client complaints and investigations
  • Registration requirements
  • Trade desk supervision
  • Relationships with regulators
  • Investment banking

How will you learn?

CSI’s online learning system helps you meet your study goals. You’ll benefit from:

  • Textbook readings available in PDF, eBook and printed format
  • Review questions for each chapter so that you can assess your progress
  • Learning objectives that keep you focused
  • Course updates to ensure you’re learning the most current and up-to-date practical material in your studies
  • Assistance from CSI’s academic support specialists

What is the course syllabus?

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Section 1 - The Role of Compliance and Formal Compliance Structure

Chapter 1 - The Role of Compliance

Topics covered in this chapter are:

  • Compliance Overview
  • Creating a Culture of Compliance
  • Roles of Key Internal Players
  • Balancing Revenue Interests with Compliance Risks

Chapter 2 - Formal Compliance Structure

Topics covered in this chapter are:

  • Overview of a Formal Compliance Structure
  • Roles and Responsibilities
  • Creating a Senior-Level Compliance Structure
  • Key Skills of a Chief Compliance Officer
  • Relationships with Regulators and Self-Regulatory Organizations
  • Relationships to Line Management, Executive Management, and the Board
  • Relationships with External Parties
  • Compliance Department Organization
  • Compliance Governance Document

Section 2 - Canada's Regulatory Environment and Risks Faced by Investment Dealers

Chapter 3 - Canada's Regulatory Environment and Basic Securities Law

Topics covered in this chapter are:

  • Overview of the Regulatory Environment
  • Principle-Based Regulation
  • Key Legislation and Players in Securities Regulation
  • The Criminal Code of Canada
  • Civil and Common Law Obligations and Liabilities

Chapter 4 - Risks Faced by Investment Dealers

Topics covered in this chapter are:

  • Risk Management overview
  • General Types of Risk
  • A Risk-Based Approach to Compliance
  • Risk-Based Models and Methodologies
  • Risk Controls

Section 3 - CCO Skill Requirements

Chapter 5 - Leadership

Topics covered in this chapter are:

  • Overview of Leadership
  • Leadership Theory
  • Soft Skills of Leadership
  • Demonstrating Leadership

Chapter 6 - Making Ethical Decisions

Topics covered in this chapter are:

  • Overview of Ethics
  • Ethics and Public Trust
  • Ethics and Professionalism
  • Ethics and Industry Regulations
  • Ethics in the Organization
  • Understanding Ethical Dilemmas
  • Resolving Ethical Dilemmas

Chapter 7 - Development of Policies and Procedures

Topics covered in this chapter are:

  • Overview of Policies and Procedures
  • Developing and Amending Policies and Procedures
  • Writing and Formatting Policies and Procedures
  • Disseminating Policies and Procedures
  • Implementing Policies and Procedures

Chapter 8 - Monitoring

Topics covered in this chapter are:

  • Overview of Monitoring and Surveillance
  • Establishing Monitoring and Surveillance Systems
  • Formal Monitoring Techniques
  • Monitoring a System’s Effectiveness
  • Key Control Points

Section 4 - Application of Skills

Chapter 9 - Opening and Maintaining Accounts

Topics covered in this chapter are:

  • Documentation
  • Advertising, Sales Literature, and Correspondence
  • Recordkeeping Requirements
  • Client Relationship Model
  • Dealing With Seniors and Other Vulnerable Clients
  • Equity and Mutual Fund Trading and Settlement
  • Funds and Securities Movements
  • Capital Requirements
  • Prospectus and Prospectus-Exempt Distributions

Chapter 10 - Recordkeeping Requirements

Topics covered in this chapter are:

  • General Procedures Required for Recordkeeping
  • Regulatory Recordkeeping Requirements
  • Record Retention and Accessibility

Chapter 11 - Client Complaints

Topics covered in this chapter are:

  • Overview of Client Complaints
  • Types of Complaints
  • Preventing Complaints
  • Handling Complaints
  • Alternative Dispute Resolution
  • Civil Litigation

Chapter 12 - Registration

Topics covered in this chapter are:

  • Overview of Registration
  • Individual Registration and Approval, and Related Proficiency Requirements
  • The National Registration Database
  • CIRO Registration Hearing Procedures
  • Jurisdictional Registration Issues

Chapter 13 - Trading Desk Supervision

Topics covered in this chapter are:

  • Overview of Trading Desk Supervision
  • The Basic Framework
  • Securities Legislation
  • Supervision of Trading
  • Equity Sales and Trading Department: Compliance and Supervision Programs
  • Fixed Income Sales and Trading Departments: Compliance and Supervision
  • Order Entry and Trading
  • Specific Considerations in Trading Supervision and Compliance
  • Criminal Trading Offences

Chapter 14 - Investment Banking

Topics covered in this chapter are:

  • Institutional Businesses
  • Investment Banking
  • Underwriting Due Diligence
  • The Research Department
  • Financial Engineering

Section 5 - Regulatory Investigations and Reporting

Chapter 15 - Regulatory Investigations

Topics covered in this chapter are:

  • Internal Investigations
  • External Investigations
  • Investigations by Other Legal and Regulatory Authorities
  • Handling External Investigations

Chapter 16 - Reporting Requirements

Topics covered in this chapter are:

  • Overview of Reporting Requirements
  • Reporting to Management and the Board of Directors
  • Other Reporting Obligations

Course Completion, Wall Certificate and Digital Badge

Upon successfully completing this course, you will be able to download a Notice of Course Completion available through your student profile. This will remain on your profile as formal confirmation of course completion.

You can also accept a digital badge through your student profile after successful course completion. Digital badges are portable image files that allow you to share your credentials across the web. You can post them to your email signature, personal website, social media channels—even to electronic copies of your resume.

CSI will mail you a wall certificate within 4 – 6 weeks of course completion. Frames to display your certificate are available. Please ensure that your First and Last Name on your profile matches your First and Last Name on your Government Issued Photo identification – this will ensure you receive an accurate certificate.

CSI will be pleased to issue an Honours Certificate to all students who obtain a final course mark of 85% or higher.

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