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Consequences of Non-Compliance in the Securities Industry 2013


This course will teach the advisor the following:


  • A Highly Regulated Industry
  • Policies and Procedures
  • Introduction to the Regulatory Environment

Lesson 1: Federal Laws and Agencies

  • Federal Laws and Agencies
  • Provincial Securities Legislation
  • Foreign Regulators
  • Policies and Procedures of the Firm

Lesson 2: Client Complaints

  • Gatekeeper Requirements
  • How Client Complaints Arise
  • Internal Investigation Situations

Lesson 3: IROC Complaints Procedures

  • IIROC's Complaint Procedures
  • IIROC's Investigation Procedures
  • IIROC Violations
  • Settlement Agreements
  • IIROC Hearing Process
  • Potential Sanctions

Lesson 4: Professional Duties and Industry Standards

  • Professional Duties and Industry Standards
  • Contract Law
  • Obligations and Duties
  • Suitability and Confidentiality
  • Fiduciary Duty (Contract of Mandate in Quebec)
  • Additional Obligations
  • Civil Proceedings

Lesson 5: Criminal Law

  • The Objective of Criminal Law
  • Application of the Charter
  • Securities-Related Offences Under the Criminal Code
  • The Securities Acts
  • Criminal Investigations
  • Potential Penalties for Securities-related Offences
Quiz Format Online
Question Format Multiple Choice
Questions Per Quiz 20
Passing Grade 60%*
Attempts Allowed Unlimited*
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.