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Role of the Gatekeeper



  • What is the Role of the Gatekeeper
    • The Traditional Role of the Gatekeeper
    • The Role of the Gatekeeper in the Securities Industry
    • Who is the Gatekeeper?
    • Gatekeeper Regulations
    • Gatekeeper Expectations
  • Why is the Gatekeeper Important?
    • Damage to the Markets
    • Damage to the Public
    • Damage to the Dealer Member


  • Gatekeeper for the Capital Markets
    • The Gatekeeper Obligations
    • The Responsibilities of the Gatekeeper under IIROC Trading Rules


  • Gatekeeper for the Public
    • Money Laundering and Terrorist Financing
    • Fraud
    • Illegal Insider Trading


  • Supervisory Implications for IIROC Dealer Members
    • Supervisor Implications for the Retail Supervisor
    • Supervisions Implications for the Institutional Supervisor


  • Recent Gatekeeping cases and IIROC Actions
    • The Case of J. Smith and AB Securities
    • The Case of A. Brown, B. White, C. Black and WX Securities
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 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.