Sales and Trading Compliance for Investment Representatives (STIR)

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What will you learn about?

  • Business Models Providing Online Investment Services
  • Key Risks and Success Factors for Online Investment Businesses
  • Types of Orders
  • Trading Halts, Suspensions, and Circuit Breakers
  • Client Priority
  • Best Execution
  • Gatekeeper Obligations
  • Anti-Money Laundering and Suspicious Transaction Reporting
  • Description and Prevention of Prohibited or Deceptive Activities
  • The Personal Information Protection and Electronic Documents Act
  • Cybersecurity