WHAT YOU WILL LEARN
The following topics are covered in the course:
Lesson 1: Bringing Securities to the Market
- When a prospectus is required
- Sales from a control position
- The preliminary and final prospectus
- Fund Facts Document
- Short form prospectus system
- The bought deal and exempt issues
- Statutory rights of the purchaser
- Hot issues
- Maintaining publicly trading status
- Press releases and material change filings
- Proxies and proxy solicitations
- Internal controls
- Underwriting, syndication, information barriers
- Capital requirements for underwriting commitments
Lesson 2: Underwriter Due Diligence
- Defining underwriting due diligence
- Policies and procedures
- Business and legal due diligence
- Record keeping
- Emerging market issues
| Approximate Hours of Study** | |
|---|---|
| Hours of Study | 3 hours |
| QUIZ FORMAT | |
|---|---|
| Quiz Format | Online |
| Question Format | Multiple Choice |
| Questions Per Quiz | 20 |
| Passing Grade | 60%* |
| Attempts Allowed | Unlimited* |
| ENROLMENT PERIOD | |
|---|---|
| Enrolment Period | 6 months |
* IMPORTANT: There is no maximum to the number of quiz attempts permitted, but only 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)
Quebec (IQPF/CSF)
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.