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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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
Topics covered in this chapter are:
- The Different Types of Trading Violations
- Frauds and Scams
Topics covered in this chapter are:
- An Overview of the Gatekeeper Role
- Best Trading Practices
- Cybersecurity Practical Considerations
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