Partners, Directors and Senior Officers Course (PDO)

Topics covered in this chapter are:

• Executive Registration Category

• Risk Management Overview and The Role of an Executive

• The Essentail Nature of Risk

• Culture of Compliance

• Summary

Topics covered in this chapter are:

• Introduction

• Overview of the Regulatory Environment

• The Criminal Code of Canada

• Civil and Common Law Obligations and Liabilities

• Summary

Topics covered in this chapter are:

• Introduction

• Evolution of the Private Client Investment Industry

• Business Models

• Account Types and Sources of Revenue

• Profitability Drivers

• Compliance and Risk

• Client Experience and Value Proposition

• Summary

Topics covered in this chapter are:

• Introduction

• Business Models Providing Online Investment Services

• Key Risk for Online Investment Businesses

• Key Success Factors for Online Investment Businesses

• Measures and Trends

• Summary

Topics covered in this chapter are:

• Introduction

• Structure of an Investment Bank

• Front Office Functions

• Trends and Challenges

• Summary

Topics covered in this chapter are:

• Introduction

• Bringing Securities to the Market

• Exempt Issues

• Maintaining Publicly Trading Status

• Special Considerations for IIROC Dealers

• Summary

Topics covered in this chapter are:

• Introduction

• Overview of Ethics

• Ethics in the Organization

• Understanding Ethical Dilemmas

• Resolving Ethical Dilemmas

• Summary

Topics covered in this chapter are:

• Introduction

• Defining Corporate Governance

• Corporate Governance Systems

• The Principles of Corporate Governance

• Special Considerations for Directors of Investment Companies

• Special Considerations for Investment Dealer Governance

• Governance in Canada and Around the World

• Summary

Topics covered in this chapter are:

• Introduction

• 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

• Types of Risk

• Summary

Topics covered in this chapter are:

• Introduction

• Creating an Effective Risk Management System

• Internal Control Policies

• Opening New Accounts

• Account Supervision

• Recordkeeping and Reporting Requirements

• Dealing with Money Laundering and Terrorist Financing

• Privacy and Cybersecurity

• Summary

Topics covered in this chapter are:

• Introduction

• The Regulatory Requirement for Minimum Capital

• Capital Formula

• The Early Warning System

• Failure To Maintain Adequate Risk Adjusted Capital

• Summary

Topics covered in this chapter are:

• Introduction

• Clients’ Complaints to a Dealer Member

• Internal Investigations

• IIROC Reviews and Investigations

• Civil and Criminal Proceedings

• Summary