Quick Links

CSI will be performing system maintenance on Saturday May 11th from 5 a.m. until 1 p.m. ET. You will not have access to your “myCSI” student account, nor will you be able to book, cancel or reschedule exams during this time. You can still access your online course materials by visiting connect.csi.ca then connecting to “Blackboard Learn”.

What is the course syllabus?

Expand All| Collapse All

Lesson 1: Overview and Background of CFRs

Topics covered in this chapter are:

  • General Overview of the Regulatory Environment
  • CIRO and CIRO harmonization with the CFRs
    • Training Requirements Under the CFRs
  • Legal Responsibilities and Evolution of Relationship Disclosure
  • Summary

Lesson 2: General Disclosure Requirements

Topics covered in this chapter are:

  • Account Type
    • Description of Products and Services
    • Disclosure of Where and the Manner in Which Client Assets are Held
    • Disclosure of Conflicts of Interest
    • Disclosure of Charges and Other Compensation
    • Description of content and frequency or reporting
    • Suitability Determinations and KYC Information
    • Benchmarks
    • Investment Impact of Costs and Restrictions
    • Pre-trade disclosure of charges
    • When the firm has a relationship with a financial institution
  • Example
  • Summary