Quick Links

Some users may be experiencing difficulties accessing the platform due to a recent authentication update. Our teams are actively investigating this issue as a top priority, and we are committed to restoring full service as quickly as possible. Thank you for your patience and understanding.

About

Investment Representatives (IRs) operate in a highly regulated industry where the rules are extensive and often complex. The risk of doing the wrong thing is high and it’s important that IRs know the rules and operate with integrity. This course will help students better understand the industry’s compliance requirements and the important role that IRs play. Students will come to know various types of wrongdoing and challenges to market integrity, as well as the many solutions the industry has developed to combat these problem areas to enhance market integrity. The course also includes new rules and guidance related to CIRO’s derivatives rule modernization initiative, cybersecurity, Client Focused Reforms (CFRs), trade settlement, and crypto asset trading platforms.

Who should enrol?

Investment Representatives who are subject to CE requirements for compliance.