As an investment representative (IR), it is important that you understand and fully comply with the rules laid out by IIROC and the provincial securities administrators. This knowledge will allow you to deal with and execute client orders in accordance with industry trading regulations. The lessons that follow provide suitable guidelines and procedures that will help you in your role as an IR. The first lesson provides an overview of the various online business models. The second lesson will focus on the different types of orders available to investors and examine trading halts, suspensions, and market circuit breakers. Lesson three examines specific rules and requirements in regard to client priority, best execution, and your gatekeeper obligations for anti-money laundering and suspicious transaction reporting. The fourth lesson focuses on prohibited and deceptive market activities. The final lesson introduces the concept of personal information protection and the growing concern over cybersecurity.
This CE course is suitable for investment representatives, sales assistants, and compliance personnel. It is recommended for individuals who are subject to IIROC CE compliance requirements.