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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.

Managed Accounts: Compliance Issues and Considerations


Increasing numbers of investment advisors have moved in the direction of offering discretionary investment management services to their clients. This course covers the various compliance considerations advisors, supervisors and their firms need to take into consideration when dealing on a discretionary basis with clients, including approval processes, fair-trade allocations, and movement from a suitability to a fiduciary standard.

Who should enrol:

Managed Accounts Compliance Issues and Considerations is designed for financial professionals including investment advisors, investment representatives and compliance personnel. It is recommended for individuals who are subject to CE compliance requirements, and for professional development.