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.
This two-day seminar is led by industry experts. High-level instruction conveys the knowledge you need to meet key supervisory responsibilities. The agenda covers:
- Understanding the Business Environment
- Leading, Communicating & Change
- Communication Fundamentals
- Handling Difficult Conversations
- Compliance Management (Through Case Studies)
Guest speakers cover the following topics:
- Business Conduct Compliance
- Financial and Operations Compliance
- Trading Conduct Compliance
- Supervisor Responsibility and Reliability
|Regulatory Requirement/Professional Association||What this Course Satisfies:|
|Chartered Strategic Wealth Professional, IIROC 12-hour Compliance1||12 hrs|
|Chartered Strategic Wealth Professional, IIROC 30-hour Professional Development1||20 hrs|
|FPSC, Advocis2||20 hrs|
|AIC/ICS/FSCO (Insurance)||13 hrs|
For details on the organizations above and footnote information on CE Credits, click here.
1Credits may not be used to satisfy both IIROC's Compliance and Professional Development (PD) requirements at the same time.
This information was collected by CSI in January 2011. While every effort has been made to ensure that this information is current and correct, CSI cannot ensure its accuracy.