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CSI will be performing system maintenance on Saturday May 11th from 5 a.m. until 1 p.m. ET. You will not have access to your “myCSI” student account, nor will you be able to book, cancel or reschedule exams during this time. You can still access your online course materials by visiting connect.csi.ca then connecting to “Blackboard Learn”.

What is the course syllabus?

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Module 1

What is the Role of the Gatekeeper?

Topics covered in this chapter are:

  • The Traditional Role of the Gatekeeper
  • The Role of the Gatekeeper in the Securities Industry
  • Who is the Gatekeeper?
  • Gatekeeper Regulations
  • Gatekeeper Expectations

Why is the Gatekeeper Important?

Topics covered in this chapter are:

  • Damage to the Markets
  • Damage to the Public
  • Damage to the Dealer Member

Module 2

Gatekeeper for the Capital Markets

Topics covered in this chapter are:

  • The Gatekeeper Obligations
  • The Responsibilities of the Gatekeeper under CIRO Trading Rules

Module 3

Gatekeeper for the Public

Topics covered in this chapter are:

  • Money Laundering and Terrorist Financing
  • Fraud
  • Illegal Insider Trading

Module 4

Supervisory Implications for CIRO Dealer Members

Topics covered in this chapter are:

  • Supervisor Implications for the Retail Supervisor
  • Supervisions Implications for the Institutional Supervisor

Module 5

Recent Gatekeeping cases and CIRO Actions

Topics covered in this chapter are:

  • The Case of J. Smith and AB Securities
  • The Case of A. Brown, B. White, C. Black and WX Securities