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ETFs: Opportunities and Risks


Please note: This course is no longer available for enrolment. Please visit the NEW ETFs: Evolution and Emerging Trends course page for an equivalent option.

Few inventions in the history of modern finance have contributed to investor democratization as the Exchange-Traded Funds (ETF) has. Created to give simpler and inexpensive capital and commodity market access to the masses, today they can allow your clients to participate in markets that 10 years ago they would not have had the ability to directly access.

The ETFs: Opportunities and Risks course will provide you with the knowledge and insight into Exchange Traded Funds as valuable investment vehicles for your clients.

In addition to comprehensive reading materials and exercises, you will learn the three lessons of this course through the use of a webcast presented by an industry expert and author Howard J. Atkinson . Webcast topics include the structures, risks, advantages and disadvantages of ETFs, which help you to provide your clients with informed decisions about ETF investments. This is a broad course covering US and Canadian ETF products.

Who should enroll?

  • This CE course is suitable for investment advisors or wealth managers active in both US and Canadian markets and would like to learn more about ETFs.
  • Individuals licensed to sell securities that are subject to Professional Development and/or Compliance CE requirements.
  • Those wanting to further their knowledge of these sophisticated financial products.

What You Will Learn

  • Defining an Exchange-Traded Fund (ETF)
  • The history of how ETFs were engineered as financial instruments
  • Benefits of ETFs compared to other investments vehicles
  • The different types of ETFs available on the market
  • Regulations around ETFs
    • Due diligence responsibilities regarding ETF client suitability
    • Sales practice responsibilities regarding leveraged and inverse ETFs
  • ETF trading strategies
    • Impact of ETF portfolio construction strategies on taxable distributions
    • The impact of index volatility on leveraged ETFs returns
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 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.