The general concept of conflicts of interest has been the source of much discussion for decades, possibly even centuries. We all come across situations in our everyday lives where we are in a position of conflict, and the investment industry is no different. Registered firms and individuals need to manage and properly deal with conflicts of interests when they arise, which they will from time to time.
In this course, we discuss conflicts of interest in the context of recent amendments to securities regulation and then describe the various types of conflicts and explain how to manage them in the best interests of the client.
This CE course is suitable for investment advisors, mutual fund representatives, portfolio managers, exempt market dealing representatives, wealth managers and others within the financial services industry who would like to learn more about responsible investment.
Individuals licensed to sell securities that are subject to Professional Development CE requirements.
The Conflicts of Interest online mini-course course meets the CSA’s CFR training mandate as well as satisfying continued education compliance requirements for IIROC and other jurisdictions.