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Effective Management Seminar

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:

Day One

  • Understanding the Business Environment
  • Leading, Communicating & Change
  • Communication Fundamentals
  • Coaching
  • Handling Difficult Conversations
  • Compliance Management (Through Case Studies)

Day Two

Guest speakers cover the following topics:

  • Ethics
  • Business Conduct Compliance
  • Financial and Operations Compliance
  • Enforcement
  • 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 cecap
Chartered Strategic Wealth Professional, IIROC 30-hour Professional Development1 20 hrs cecap
FPSC, Advocis2 20 hrs
Subject 1 : 10 PDU
Subject 5 : 10 PDU
IQPF Not applicable
AIC/ICS/FSCO (Insurance) 13 hrs
ICM/ICBC 5 hrs
CAAMP 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.