Course work and simulations will prepare students to navigate the intricacies of compliance, giving them the experience needed to determine whether a compliance violation has occurred, and identify the course of action to be taken.
Upon completion of the course students will be able to:
- Understand compliance violations in both retail and institutional account settings
- Identify possible compliance violations including: lack of suitability, insider trading, front running, manipulative trading, unauthorized discretionary trading, trading of restricted list stocks, improper sale from control position and violation of cash account rules
- Identify the additional information required to determine whether a compliance violation has occurred
- Analyze the additional information
- Determine the appropriate course of action
- Fulfill IIROC CE Compliance credits
- Demonstrate the ability to apply the compliance knowledge gained through licensing courses within the NEW Certificate in Investment Dealer Compliance
|Question Format||Multiple Choice|
|Questions Per Quiz||3 retail tests; 2 institutional tests (5 to 7 questions per test)|
|Attempts Allowed||3 per test*|
|Enrolment Period||6 months|
* IMPORTANT: The first passing grade (60% or over) will appear on official web transcript.
Continuing Education (CE) Credits
Click the links below or the buttons at the top of the page on the right side to access CE accreditation information. To search for specific course information, press Ctrl + F and then enter the course name to search the document for the information you are interested in.
National/Provincial (Excluding Quebec)
Download CE Chart (PDF, 163 kb)
Download IQPF/CSF Chart (PDF, 182 kb)
Please note: While CSI makes every effort to ensure that the information is up-to-date, we are unfortunately unable to fully guarantee its accuracy. The information listed in the charts above may be subject to change.
For details on the organizations and other information on CE Credits listed in the above charts, please click here.
This course is now eligible for CFA CE credits. CFA – Confirmation of CE Activities (PDF)