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What will you learn about?
- The capital markets and the exempt market
- The all-important know-your-client (KYC) and know-your-product (KYP) rules
- Ethical conduct, the private placement process, how different issuers are structured
- Compliance requirements and features of common exempt securities.
What is the course syllabus?
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Overview of the capital markets
Regulatory framework
Compliance for exempt market dealers
Dealing with clients
The private placement process
The structures of issuers
Real estate and mortgage investments
Flow-through shares
The mining industry
The oil and gas industry
Hedge Funds
Know your client and suitability
How will you learn?
CSI’s online learning system helps you meet your study goals. You’ll benefit from:
- Textbook readings available in PDF
- Course materials accessed through your computer, laptop, tablet, or phone
- Learning objectives that help you to keep the learning focused
- Course updates to ensure that the learning material reflects the most current and best practical material
- Assistance from CSI’s academic support specialists