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Trading Compliance for Investment Representatives

 

The Trading Compliance for Investment Representatives course will help you understand how client orders are traded within the regulatory framework that governs market structure.  With examples, scenarios and case studies, this course will improve your ability to communicate your professional knowledge of market structure to the client, increasing the value of the order-execution-only firm as a trusted brand.

Lesson 1 -Doing What's Right

  • It's a Rules-Based Industry
  • Guidelines for Doing What's Right
  • The Integrity of the Investment Representative

Lesson 2 - Your Role and Responsibility as a Securities Market Gatekeeper

  • Gatekeeper for the Capital Markets
  • Compliant Behaviour

Lesson 3 - Marketplaces and Order Routing

  • What Factors Differentiate Marketplaces in Canada?
  • Marketplace Order Routing

Lesson 4 - Fair and Orderly Trading

  • Halts, Suspensions and Circuit Breakers
  • Short Sales

Lesson 5 - Order Strategies and Best Execution

  • Order Strategies
  • Best Execution in Over-the-Counter Securities
Approximate Hours of Study**
Hours of Study 5 hours
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.