Investment Dealers and their Approved Persons are gatekeepers to the capital markets, given that they manage the point of entry for both investors and issuers.
Being a gatekeeper carries important regulatory responsibilities. Gatekeepers must act in the best interests of the capital markets by taking action when observing activity that may threaten market integrity. However, in recent years one of the most common causes for regulatory discipline of Investment Dealers and Approved Persons is a result of failing to uphold their gatekeeper responsibilities.
The Role of the Gatekeeper course will provide you with valuable knowledge on the importance of the Gatekeeper role within your firm, and why adherence to this requirement is essential for you, your firm and the capital markets. Furthermore this course will provide you insight into how the responsibilities of Gatekeepers have evolved to today, and how to take preventative measures to safeguard your personal and employers’ client risk.
Who should take this course?
You should enroll in this course if you are a retail advisor, institutional advisor, trader, or in a supervisory or executive position within an investment dealer.