Canadian Securities Institute, Moody's Analytics Training & Certification Services
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Risk Management in the Securities Industry 2010

 

This 6 lesson course will teach the advisor the following:

Lesson 1: Assessing Risk

  • Assessing Risk
  • Balancing Compliance and Business
  • Defining Risk Management
  • Risk-Based Approach
  • Reducing Risk
  • Reputational Risk
  • IIROC Risk Trend Report (RTR)

Lesson 2: External (Environmental) Risk

  • External (Environmental) Risk
  • The 2007 Market Crisis

Lesson 3: Inherent Risk

  • Inherent Risk
  • Size of Business Risk
  • Lines of Business Risk
  • Retail Distribution
  • Product Risk
  • Client Risk
  • Strategic and Tactical Management Risk

Lesson 4: Internal Risks

  • Internal Risks
  • Key Person Reliance
  • Fraud or Unethical Behaviour
  • Ethics and Professionalism
  • Fiduciary Duty (Contract of Mandate in Quebec)
  • Marketing and Sales Practices

Lesson 5: Systems and Operational Risks

  • Systems and Operational Risks
  • Operating Procedures
  • Corporate Governance Effectiveness
  • Design of Risk Management Systems
  • An Example of Branch Risk Assessments

Lesson 6: Conclusion

QUIZ FORMAT
Quiz Format Online
Question Format Multiple Choice
Questions Per Quiz 20
Passing Grade 60%*
Attempts Allowed Unlimited*
ENROLMENT PERIOD
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.

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