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At CSI, the well-being of our valued learners and employees is our highest priority. Given the seriousness of the COVID-19 (Coronavirus) and the danger of contagion, effective March 16, 2020, we have suspended all in-person exams in Canada and internationally until further notice. Click here to read more about the precautionary actions we are taking during these difficult times.

Managing Compensation Related Conflicts of Interest

 

The Managing Compensation Related Conflicts of Interest course will help you understand the historical context of conflicts of interest in the investment industry while developing your understanding of the requirements under recent regulatory changes (such as the Client Relationship Model). It will provide a framework to help you understand how conflict requirements and considerations are reflected in existing rules and how to apply those standards in your day-to-day activities.

The course also explores how conflicts continue to be a focus area for regulators and underpin many regulatory initiatives, including those involving a best interests standard, mutual fund fees, fee-based accounts, personal financial dealings and others.

Who should enrol:

Managing Compensation Related Conflicts of Interest is designed for financial professionals including investment advisors, and compliance personnel. It is recommended for individuals that are subject to CE compliance requirements, and for professional development.