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What Will You Learn?

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

  • Rules that underly the IRs role
  • Frauds, scams, and trading violations
  • The gatekeeper role and protecting market integrity
  • What’s new in regulatory rules and industry guidance

What is the course syllabus?

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Lesson 1: It’s a Rules-Based Industry

Topics covered in this chapter are:

  • Financial Services: A Rules-Based Industry
  • Guidelines for Doing What’s Right
  • The Integrity of the Investment Representative
  • Permissible Orders

Lesson 2: Challenges to Market Integrity – Trading Violations and Fraud

Topics covered in this chapter are:

  • The Different Types of Trading Violations
  • Frauds and Scams

Lesson 3: The IR’s Role in Protecting Market Integrity

Topics covered in this chapter are:

  • An Overview of the Gatekeeper Role
  • Best Trading Practices
  • Cybersecurity Practical Considerations

Lesson 4: Regulatory Update

Topics covered in this chapter are:

  • Trade Settlement
  • Cybersecurity Risk
  • Crypto Asset Trading Platforms
  • Client Focused Reforms – Phase 2 Sweep
  • Derivatives Rule Modernization
  • CIRO’s Business Conduct Compliance Examinations
  • Communicating Trading Information to Customers
  • Consequences of Non Compliance

How will you learn?

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

  • Online readings available in PDF format
  • Learning objectives that keep you focused
  • Online assistance from CSI’s academic support specialists