Canadian Securities Institute, Moody's Analytics Training & Certification Services
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Conflicts of Interest

 

What You Will Learn

The following topics will be covered in the course:

  • Identifying and responding to the fundamental  types of Conflicts of Interest
  • Conflicts in the context of National Instruments 31-103 and 81-105, and IIROC’s Client Relationship Model (CRM), including discussion of Personal Financial Dealings with Clients and Outside Business Activities
  • Ongoing regulatory policy discussions and pending changes

This course is taught online and includes PDF textbook and online interactive modules.

Approximate Hours of Study**
Hours of Study 3 hours

** In order to provide some guidance to course participants as to the length of time it will take to be sufficiently prepared to write the final examination, CSI has prepared this estimate of the number of hours an average participant could possibly expect to spend studying for a course. Please note that these are only recommended hours of study developed based on research and our course content, however, this does not mean that some students with exceptional backgrounds would not take less time than recommended or that students with no background at all in finance or economics would not take longer than the maximum.

QUIZ FORMAT
Quiz Format Online
Question Format Multiple Choice
Questions Per Exam 20
Attempts Allowed Unlimited
Passing Grade 60%*

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.