The Investment Industry Regulatory Organization of Canada (IIROC), as well as other securities regulators in Canada and the United States, have identified “Cybersecurity and Privacy” as a critical issue that participants in the financial services industry (both dealer members and their individual registrants) must be aware of in their day to day operations and practice. It is an issue that all participants in the investment industry must be cognizant of on a daily basis. Like the threats posed by money launderers, cybersecurity threats and related issues are serious and can result in significant client harm, liability for both dealer members and registered staff, and general risks to the stability of the capital markets.

Who should enrol?

  • Investment Advisors
  • Financial Planners
  • Wealth Managers
  • Individuals who are subject to CE compliance requirements