CSI will be performing system maintenance on Saturday April 13th 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?

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Lesson 1: Understanding Conflicts of Interest

Topics covered in this chapter are:

  • Introduction
  • Client Focused Reforms (CFRs)
  • Changes to Conflict of Interest Rules
    • What is a Conflict of Interest
  • Identifying Material Conflicts of Interest
    • When is a Conflict of Interest Material
  • Addressing Conflicts of Interest
  • Disclosing Conflicts of Interest
    • When Disclosure is Appropriate
    • Timing of Disclosure
    • When Disclosure is not Appropriate
    • How to Disclose a Conflict of Interest
  • Harmonization Among the Self-Regulatory Organizations
    • Regulatory Review
  • Summary

Lesson 2: Addressing Conflicts of Interest

Topics covered in this chapter are:

  • Introduction
  • The Main Types of Conflicts of Interest
  • Conflicts Involving Proprietary Products
  • Addressing Conflicts Involving Proprietary Products
  • Fee-Based Accounts
  • Third-Party Compensation
  • Referral Arrangements
  • Authority Over the Financial Affairs of a Client
  • Supervisory Conflicts
  • Conflicts Between Clients
  • Personal Financial Dealings with Clients
  • Outside Activities