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Investment Advisor Training Program (90-day)


CSI's Investment Advisor Training Program fulfills the general knowledge portion of the 90-day training program and can be used to complement your firm's internal training program.

Firms provide comprehensive education through a cost-effective one-stop training program that satisfies their responsibility to assess the proficiency of prospective Investment Advisors during the 90-day training period. Students enhance their ability to provide investment advice to clients, respecting investment, retirement and estate planning objectives.

Supervisors are able to monitor each student's progress and students are able to identify areas that require improvement by using diagnostic and assessment tools included in the program.

Enrolment Period 1 year

All assessments are the responsibility of the employer.

Topic Time1 Responsibility2
1. General Background 1 week
1.1 Overview of the Financial Services Industry and the Securities System 1-2 days CSI
1.2 Your Positioning in Financial Services 1-2 days Firm
1.3 Capital Markets and the Economy 1-2 days CSI
2. Product Knowledge 4 weeks
2.1 Fixed-Income Products 3-5 days CSI
2.2 Equities 3-5 days CSI
2.3 Derivatives & Hybrid Securities 3-5 days CSI
2.4 Mutual Funds and Other Managed Products 3-5 days CSI
2.5 Proprietary Products and Accounts 3-5 days Firm
3. Portfolio Planning 3 weeks
3.1 Basic Financial Planning 3-5 days CSI
3.2 Tax and Retirement Planning 3-5 days CSI/Firm
3.3 Portfolio Theory and Asset Allocation 3-5 days CSI
3.4 Firm Specific Planning Programs & Services 3-5 days Firm
4. Operations and Administration 2 weeks
4.1 Accounts and Client Records Firm/CSI supplement
4.2 Transactions and Settlement Procedures Firm/CSI supplement
4.3 Margin & Credit Policies Firm/CSI supplement
4.4 Commissions/Compensation/Fees Firm/CSI supplement
4.5 Firm Structure Firm
4.6 Systems & Technology Firm
5. Communication Training 2 weeks
5.1 Client Communication Firm/CSI supplement
5.2 Prospecting/Marketing Firm/CSI supplement
5.3 Selling/Communication Skills Firm/CSI supplement
5.4 Relationship Management/Practice Management Firm/CSI supplement
6. Standards of Conduct & Practice 1 week
6.1 Code of Ethics & Standards of Conduct CSI
6.2 Compliance Rules and Regulations CSI
6.3 Compliance Procedures Firm
6.4 Know Your Client/Suitability CSI/Firm
6.5 New & Pending Legislation/Regulation CSI/Firm
6.6 Complaint Processes & Penalties CSI/Firm
7. Social Media Compliance Guidelines 1 week CSI/Firm

1 Time indicates the estimated number of days required to complete each section in a topic. (Major topics should be completed within the overall allocated time.)

22 CSI indicates that content for this topic is supplied by CSI. Firm indicates that content for this topic is supplied by your firm.

This course can be extended by 1 year for a fee of $250. You can view CSI extension fees here. Your enrolment period can only be extended one time.

Important: During a student's enrolment period, CSI may update this course. In that case, details about the update and how it may affect students will be posted online via My CSI. Students are held responsible for and are examinable on the content in the course textbook(s) provided at the time of enrollment unless stated otherwise in My CSI. Students are encouraged to check My CSI regularly throughout their enrolment period.

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.