Lesson 1: Introduction to Conflicts of Interest
- Explain what is meant by conflict of interest.
- Identify the fundamental types of conflicts.
- Assess the materiality of conflicts.
Lesson 2: What is the Client Relationship Model (CRM)?
- Explain how CRM1 and CRM2 arose and what’s happening now
- Identify what’s important with NI 81-105
- Understand the issues around Personal Financial Dealings with Clients and Outside Business Activities
Lesson 3: What’s Next for Regulation?
- Explain the different opinions regarding the introduction of a Best Interest Standard
- Identify the key issues which arise from the mutual fund fee structure in Canada
- Discuss Compensation Structures, Fee Based Accounts and Referral Arrangements
| Approximate Hours of Study | |
|---|---|
| Hours of Study | 5 hours |
| QUIZ FORMAT | |
|---|---|
| Number of Quizzes | 1 |
| Quiz Format | Online |
| Question Format | Multiple Choice |
| Questions Per Quiz | 20 questions |
| Passing Grade | 60%* |
| Attempts Allowed Per Quiz | 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.
This course is now eligible for CFA CE credits. CFA – Confirmation of CE Activities (PDF)