This 6 lesson course will teach the advisor the following:
Lesson 1: IMPORTANCE of PROTECTING AGAINST FRAUD
- Scale of the Problem and Potential Exposure
- Related Regulatory Standards
- IIROC Whistle Blowing Service
- Overview of Approaches Used by Firms to Safeguard against Fraud
Lesson 2: HISTORICAL PERSPECTIVE ON FRAUDS AND SCAMS
- Forged Instruments
- Client Impersonation and Unauthorized Withdrawals
- Pump and Dump Schemes
- Advance Fee Scams
- Naked Short Selling
Lesson 3: IDENTITY THEFT
- What Is Identity Theft?
- How Easy Is It to Tell Whether a Person Is an Imposter?
- The Identity Theft Process
- In How Many Ways Can Identity Information Be Used Illegitimately?
- What Information Can Be Used to Carry Out Identity Theft?
- How Do Fraudsters Obtain Identity Information?
- Scale of the Problem
- Protection for Victims
- How to Prevent and Detect Identity Theft
- Recent Canadian Identify Theft Legislation
Lesson 4: FRAUD IN THE 21st CENTURY
- Common Types of Technology-Enabled Fraud
- Mortgage Fraud and the Sub-Prime Crisis
Lesson 5: INFORMATION SYSTEMS SECURITY PRECAUTIONS
- Precautionary Measures
Lesson 6: WHAT HAPPENS IF?
- Fraudulent Solicitations and Email Compromise
- Privacy Breach and Identity Theft
|Question Format||Multiple Choice|
|Questions Per Quiz||20|
|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)
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.