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Effective Management Seminar

IMPORTANT

New IIROC Rules effective June 2020 no longer require the Effective Management Seminar for Supervisors/Branch Managers. The EMS is therefore no longer offered.

Prepare to step into a supervisory position in a securities firm by enrolling in the Effective Management Seminar. Led and conducted by industry experts, this two-day, classroom-style course is fast-paced, challenging and intensive.

Who should enrol?

  • Securities industry supervisors of Registered Representatives (Investment Advisors) dealing with retail clients, who must complete this seminar within 18 months of their appointment.
  • Other securities dealer supervisors whose firms have recommended completion of EMS.
  • Other managers required to take this seminar by a securities commission or other regulatory body.
  • Branch managers in any area of the financial services industry who supervise operations.