Tools To Advance Your Career
The PDO prepares you for additional responsibility by strengthening your grasp of the procedures, rules and practices that govern an investment firm. Learn about managing your organization's financial and sales compliance requirements and gain recognition and approval from IIROC.
Learn About:
- Securities Regulation and the Capital Markets in Canada
- Making ethical decisions
- Corporate governance
- Senior officer and director liability
- Managing Risk
- Consequences of Non-Compliance
- Private Client Brokerage Business
- Discount Brokerage Business
- Investment Banking Business
- Uniform Minimum Capital Requirements
- Distribution of Securities
Learning Experience
CSI's online learning system helps you meet your study goals. You'll benefit from:
- Learning objectives that keep you focused
- Online post-chapter review questions to assess your progress
- Course updates to ensure you’re learning the most current and up-to-date practical material in your studies
- Assistance from CSI's academic support specialists
What you'll learn
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Topics covered in this chapter are:
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Executive Registration Category
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The Role of an Executive
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Risk Management Overview
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Culture of Compliance
Topics covered in this chapter are:
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Introduction
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Overview of the Regulatory Environment
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The Criminal Code of Canada
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Civil and Common Law Obligations and Liabilities
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Summary
Topics covered in this chapter are:
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Introduction
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Evolution of the Private Client Investment Industry
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Business Models
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Account Types and Sources of Revenue
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Profitability Drivers
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Compliance and Risk
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Client Experience and Value Proposition
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Summary
Topics covered in this chapter are:
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Introduction
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Business Models Providing Online Investment Services
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Key Risk Factors for Online Investment Businesses
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Key Success Factors for Online Investment Businesses
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Measures and Trends
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Summary
Topics covered in this chapter are:
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Introduction
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Structure of an Investment Bank
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Front Office Functions
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Trends and Challenges
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Summary
Topics covered in this chapter are:
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Introduction
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Bringing Securities to the Market
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Exempt Issues
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Maintaining Publicly Trading Status
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Special Considerations for IIROC Dealers
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Summary
Topics covered in this chapter are:
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Introduction
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Overview of Ethics
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Ethics in the Organization
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Understanding Ethical Dilemmas
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Resolving Ethical Dilemmas
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Summary
Topics covered in this chapter are:
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Introduction
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Defining Corporate Governance
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Corporate Governance Systems
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The Principles of Corporate Governance
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Special Considerations for Directors of Investment Companies
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Special Considerations for Investment Dealer Governance
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Governance in Canada and Around the World
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Summary
Topics covered in this chapter are:
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Introduction
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Nature of a Corporation
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Duties of Directors
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Financial Governance Responsibilities
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Statutory Liabilities
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Summary
Topics covered in this chapter are:
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Introduction
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Objectives of Risk Management
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Risk Management Framework
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Major Types of Risk
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Summary
Topics covered in this chapter are:
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Introduction
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Creating an Effective Risk Management System
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Internal Control Policies
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Opening New Accounts
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Account Supervision
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Recordkeeping and Reporting Requirements
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Dealing with Money Laundering and Terrorist Financing
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Privacy and Cybersecurity
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Summary
Topics covered in this chapter are:
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Introduction
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The Regulatory Requirement for Minimum Capital
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Capital Formula
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The Early Warning System
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Failure To Maintain Adequate Risk Adjusted Capital
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Summary
Topics covered in this chapter are:
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Introduction
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Clients’ Complaints to a Dealer Member
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Internal Investigations
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IIROC Reviews and Investigations
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Civil and Criminal Proceedings
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Summary
| Approximate Hours of Study** | |
|---|---|
| Hours of Study | 50 - 65 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.
| EXAM WEIGHTINGS (weightings are approximate) |
|
|---|---|
| The Role of the Executive and Canada's Regulatory Environment | 6% |
| Industry Business Models | 18% |
| The Distribution of Securities | 8% |
| Ethical Decisions and Corporate Governance | 12% |
| Senior Officer and Director Liability | 16% |
| Risk Management in the Securities Industry | 12% |
| Managing Risk in the Financial Sector | 12% |
| Financial Compliance and the Consequences of Noncompliance | 16% |
| ENROLMENT PERIOD | |
|---|---|
| Enrolment Period | 1 year† |
| COURSE COMPLETION NOTICE AND WALL CERTIFICATE | |
|---|---|
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On successful completion of this course you will be able to download a Notice of Course Completion available through your student profile. This will remain on your profile as formal indication of course completion. CSI will mail you a wall certificate within 4 - 6 weeks of course completion. If you would like to purchase a frame to display your certificate please click here. Please ensure that your First and Last Name on your profile match your First and Last Name on your Government Issued Photo identification - this will ensure you receive an accurate certificate. CSI will be pleased to issue an Honors Certificate to all students who obtain a final course mark of 85% or higher. |
*There is no charge for your first attempt at a paper-based exam within Canada, as long as it's at a regular exam center and you provide a minimum of 14 days notice before the date that you want to write the exam. If you would like to write a computer-based exam, an additional fee will be required.
Each subsequent paper-based exam attempt at a regular exam centre within Canada will also require an additional fee. This fee is in addition to any special, computer-based or international fees that may apply. You must provide a minimum of 14 days notice within Canada at a regular exam centre and 4 weeks notice for all other centres. Please note that the date of the exam is not part of any notice period.
†Please note: Access to your online materials will close 2 weeks after successful course completion or course expiry (whichever comes first). This course can be extended by 1 year provided you have not exceeded the attempts allowed for each exam. 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.