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||6 months|
All assessments are the responsibility of the employer.
|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|
|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 Broker Liability/Complaint Processes & Penalties||CSI/Firm|
|7. Consequences of non-compliance in the securities industry 2013||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 6 months for a fee of $120. 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)
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.