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Social Media Compliance Guidelines

 

Upon completion of the course, you will gain a solid understanding of applicable industry social media rules and regulations, the supervision of social media use by your Dealer Member, as well as other issues and practical considerations for supervisors and registrants for effective and compliant social media use.

LESSON 1: BACKGROUND ON SOCIAL MEDIA

  • General background on social media
  • Social media use in the investment industry
  • Social media platforms

LESSON 2: APPLICABLE INDUSTRY RULES AND REGULATIONS

  • Provincial securities regulation
  • IIROC
  • CSA guidance for registrants
  • CSA guidance on social media use by reporting issuers
  • Other regulators and jurisdictions

LESSON 3: SUPERVISION OF SOCIAL MEDIA USE BY A DEALER MEMBER

  • General supervision, written policies, procedures, and training

LESSON 4: OTHER ISSUES AND PRACTICAL CONSIDERATIONS FOR SUPERVISORS AND REGISTRANTS FOR EFFECTIVE AND COMPLIANT SOCIAL MEDIA USE

  • Specific social media issues for consideration
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)
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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.