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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 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

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National/Provincial (Excluding Quebec)
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Quebec (IQPF/CSF)
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