Canadian Securities Institute, Moody's Analytics Training & Certification Services
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Overview and Trends: Trade Desk Risk Management and Compliance

 

What You Will Learn

  • Equity Trading: Risk Management and Compliance
    • Equity Trading Risk Management
    • Steps to Execute an Equity Trade
    • IIROC Rules and Guidelines Pertaining to Equity Trading
    • Equity Trading Trends
  • Fixed-Income Trading: Risk Management and Compliance
    • Advanced Fixed-Income Trading Strategies
    • Fixed-Income Trading Desk: Types of Risk
    • Fixed-Income Trading Desk: Risk Management
    • IIROC Regulations Related to Trading Fixed-Income Securities
  • Institutional Supervision
    • Supervision Structures, Rules and Procedures

Course Details

Approximate Hours of Study**
Hours of Study 12 hours

** In order to provide some guidance to course participants as to the length of time it will take to be sufficiently prepared to write the final examination, CSI has prepared this estimate of the number of hours an average participant could possibly expect to spend studying for a course. Please note that these are only recommended hours of study developed based on research and our course content, however, this does not mean that some students with exceptional backgrounds would not take less time than recommended or that students with no background at all in finance or economics would not take longer than the maximum.

QUIZ FORMAT
Quiz Format Online
Question Format Multiple Choice
Questions Per Quiz 45
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.

This course is now eligible for CFA CE credits. CFA – Confirmation of CE Activities (PDF)