Canadian Securities Institute, Moody's Analytics Training & Certification Services
Mobile Menu

CE Compliance Program Cycle 7

 

The CE Compliance Program includes one program made up of three separate courses and quizzes.

The four paths are:

RR Retail:

  • Managing Compensation Related Conflicts of Interest
  • Dealing with Seniors
  • Cybersecurity

IR Retail:

  • Dealer Capital Requirements: What You Should Know
  • Best Execution for Investment Representatives
  • Cybersecurity

Supervisor:

  • Managing Compensation Related Conflicts of Interest    
  • Dealing with Seniors 
  • Managed Accounts: Compliance Issues and Considerations   

 Institutional:

  • Dealer Capital Requirements: What You Should Know
  • Best Execution for Institutional Registrants
  • Cybersecurity
QUIZ FORMAT
Quiz Format Online
Question Format Multiple Choice
Questions Per Quiz 20
Number of Quizzes 1 for each course (12 in total)
Passing Grade 60%*
Attempts Allowed Unlimited*
ENROLMENT PERIOD
Enrolment Period ends December 31 2019
Approximate Hours of Study
Hours of Study 10 hours

* 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.