Partners, Directors and Senior Officers Course (PDO)

Topics covered in this chapter are:

• Executive Registration Category

• The Role of an Executive

• Risk Management Overview

• Culture of Compliance

Topics covered in this chapter are:

• Introduction

• Overview of the Regulatory Environment

• Principles-Based Regulation

• Key Legislation and Players in Securities Regulation

• The Criminal Code of Canada

• Civil and Common Law Obligations and Liabilities

• Potential Consequences of Civil Litigation

• Potential Defences Against Claims

• Summary

Topics covered in this chapter are:

• Introduction

• Evolution of the Private Client Investment Industry

• Business Models

• Account Types and Sources of Revenue

• Continued Evolution and Growth in the Investment Industry

• Profitability Drivers

• Compliance

• Client Experience and Value Proposition

• Advisor Proficiency

• How Advisors and Clients Find Each Other

• Continued Evolution in the Canadian Private Client Business

• Summary

Topics covered in this chapter are:

• Introduction

• Business Models

• Client Segments

• Discount Brokerage

• Online Wealth Management

• Key Risk Factors for Online Investment Businesses

• Key Success Factors for Online Investment Businesses

• Business Measures

• Business and Product Linkages

• Evolving Competitive Factors

• Summary

Topics covered in this chapter are:

• Introduction

• Structure of Investment Banking

• Investment Banking Functions

• Success and Risk Factors

• Trends and Challenges

• Summary

Topics covered in this chapter are:

• Introduction

• Bringing Securities to the Market

• Maintaining Publicly Trading Status

• System for Electronic Document Analysis and Retrieval

• Capital Requirements for Underwriting Commitments

• Summary

Topics covered in this chapter are:

• Introduction

• Overview of Ethics

• Ethics and Public Trust

• Ethics and Industry Regulations

• Ethics in the Organization

• Understanding Ethical Dilemmas

• Resolving Ethical Dilemmas

• Summary

Topics covered in this chapter are:

• Introduction

• Defi ning Corporate Governance

• Corporate Governance Systems

• The Policy Role of the Board of Directors

• The Principles of Corporate Governance

• Special Considerations for Investment Dealer Governance

• Special Considerations for Directors of Investment Companies

• Governance in Canada and Around the World

• Summary

Topics covered in this chapter are:

• Introduction

• Canadian Business Structures and the Nature of a Corporation

• Duties of Directors

• Financial Governance Responsibilities

• Statutory Liabilities

• Summary

Topics covered in this chapter are:

• Introduction

• Objectives of Risk Management

• Risk Management Framework

• Market Risk Management

• Credit Risk Management

• Operational Risk Management

• Summary

Topics covered in this chapter are:

• Introduction

• Creating an Effective Risk Management System

• Managing Risk Through Supervision

• Opening New Accounts

• Disclosure Requirements

• Account Supervision

• Trading Supervision Obligations

• Supervisory Assistance from Other Areas of a Dealer Member

• Recordkeeping and Reporting Requirements

• Registration

• Dealing with Money Laundering and Terrorist Financing

• Personal Information Protection and Electronic Documents Act

• Cybersecurity

• Summary

Topics covered in this chapter are:

• Introduction

• The Regulatory Requirement for Minimum Capital

• Ensuring Liquidity

• Additional Financial Risks

• Insurance Against Other Losses

• Capital Formula

• The Early Warning System

• Capital Reporting Requirements

• Failure To Maintain Adequate Risk Adjusted Capital

• Summary

Topics covered in this chapter are:

• Introduction

• Clients’ Complaints to a Dealer Member

• Internal Investigations

• IIROC Violation Procedures

• IIROC’s Investigation Process

• Civil Proceedings

• Class Action Lawsuits

• Criminal Investigations

• Summary