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What is the course syllabus?

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1. General Background

1.1 Overview of the Financial Services Industry and the Securities System

1.2 Your Positioning in Financial Services

1.3 Capital Markets and the Economy

2. Product Knowledge

2.1 Fixed-Income Products

2.2 Equities

2.3 Derivatives & Hybrid Securities

2.4 Mutual Funds and Other Managed Products

2.5 Proprietary Products and Accounts

3. Portfolio Planning

3.1 Basic Financial Planning

3.2 Tax and Retirement Planning

3.3 Portfolio Theory and Asset Allocation

3.4 Firm Specific Planning Programs & Services

4. Operations and Administration

4.1 Accounts and Client Records

4.2 Transactions and Settlement Procedures

4.3 Margin & Credit Policies

4.4 Commissions/Compensation/Fees

4.5 Firm Structure

4.6 Systems & Technology

5. Communication Training

5.1 Client Communication

5.2 Prospecting/Marketing

5.3 Selling/Communication Skills

5.4 Relationship Management/Practice Management

6. Standards of Conduct & Practice

6.1 Code of Ethics & Standards of Conduct

6.2 Compliance with Industry Rules and Regulations

6.3 Compliance Procedures

6.4 Know Your Client/Suitability

6.5 New & Pending Legislation/Regulation

6.6 Complaint Processes & Penalties

7. Protecting Aging and Vulnerable Clients – CFR 2024 Series

The CE course Protecting Aging and Vulnerable Clients in Module 7 will help you understand and deal with issues that arise when dealing with older and vulnerable clients. While some of these issues are somewhat obvious and typical, such as KYC information and regular updates, suitability, and KYP and effective communication strategies, others are novel, such as the creation and documentation of a “trusted person”. This course will also help you understand the delicate position you are placed in when a client is determined to be vulnerable and whether you are in a position to seek “safe harbour” for their actions. 

The lessons in the IATP are the responsibility of CSI and/or your firm. Full details and timelines are provided in the course.

During a student’s enrolment period, CSI may update this course. In that case, details about the update and how it may affect students will be posted online via MyCSI. Students are held responsible for and are examinable on the content in the course textbook(s) provided at the time of enrolment unless stated otherwise in MyCSI. Students are encouraged to check MyCSI regularly throughout their enrolment period.

How will you learn?

The program focuses on basic knowledge and applied education, including online, interactive diagnostic tools, to help students understand and retain course content.

Course Completion

Upon successfully completing this course, you will be able to download a Notice of Course Completion available through your student profile. This will remain on your profile as formal confirmation of course completion. Please note that a certificate will not be issued upon completion of this course.

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