Whatever your role is as an investment dealer, professional development can be accelerated by increasing your understanding and sensitivity of the key business drivers of securities firms.
The Understanding Investment Dealer Business Units (UIDB) course offers securities professionals the opportunity to better understand the business drivers within their firms’ Wealth Management, Discount Brokerage, and Investment Banking divisions. That understanding will also boost the careers of IIROC Approved Persons who need CE credits, compliance professionals who are taking the Certificate in Investment Dealer Compliance, or anyone who wants to learn more about the business lines of investment dealers. In particular, if you are a compliance professional, knowledge of the dealer’s business units will help you better achieve the challenging task of balancing compliance principles with business mandates.
The UIDB course is designed for individuals who want to learn more about investment dealer business units. This includes investment representatives and advisors, investment bankers, portfolio managers, and risk managers. The course will be of particular interest to compliance professionals who are working towards the Certificate in Investment Dealer Compliance. It will also be of interest to students who need to fulfill CE compliance or professional development requirements.