About
This course covers a compendium of regulations, guidance, and compliance considerations for Institutional Registrants working in capital markets. We begin with a focus on institutional sales and trading covering such diverse areas as supervision requirements, the challenges to market integrity including a review of gatekeeper responsibilities and various manipulative and deceptive trading practices. The material covers the different trading marketplaces in Canada, the structure of the institutional market, enforcement proceedings and a review of updated rules and guidance for Institutional Registrants. The course also covers the key compliance considerations for investment banking operations, including underwriting, research, and ethics.
Who should enrol?
This course is suitable for
- Institutional registrants
- Investment advisors,
- Traders
- Compliance personnel subject to CE compliance requirements.