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Due Diligence for Hedge Funds

The hedge fund and principal protected note markets have experienced tremendous growth during the past few years, leading to an increase in the number and complexity of related investment strategies and options. Due diligence is key in this changing market, as new products demand review and approval to protect yourself and your clients. The Due Diligence for Hedge Funds Seminar offers advanced knowledge and expertise to meet these complex needs.

Who should enrol?

Investment Advisors, Branch Managers, Mutual Fund Representatives, Compliance Officers and Managed Product Specialists would benefit from participating in this seminar.

Build on your existing knowledge of Hedge Fund products and sales. In the Due Diligence for Hedge Funds Seminar you’ll learn:

  • The different ways that investment dealers may handle due diligence.
  • To distinguish between a complete due diligence process and key due diligence items that all advisors should investigate.
  • To list and describe key due diligence items that all advisors should investigate and understand before recommending hedge funds to their clients.
  • To list and describe main aspects of due diligence process for hedge funds.

Pre-reading requirements:

While this seminar goes much further than the Canadian Securities Course (CSC)©, you will receive and be expected to review a reading package that includes a refresher on the basics of Hedge Funds from the Canadian Securities Course, as well as a primer on the issues around due diligence and compliance for hedge funds and principal protected notes The pre-reading package will provide you with a refresher of hedge fund basics and prepare you for the content covered during the seminar.

Regulatory Requirement/Professional Association What this Course Satisfies:
Ch.P. Strategic Wealth, FCSI, IIROC* 12-hour Compliance1 12  hrs  cecap
Ch.P. Strategic Wealth, FCSI, IIROC* 30-hour Professional Development1 12  hrs  cecap
FPSC, Advocis2 12  hrs
CSF
Subject 4 : 6  PDU
Subject 5 : 6  PDU
IQPF
SC : 12  PDU
AIC/ICS/ICBC/FSCO (Insurance) Not applicable
ICM Not applicable
CAAMP Not applicable

For details on the organizations above and footnote information on CE Credits, click here.

* The Investment Industry Regulatory Organization of Canada (IIROC), (formerly the Investment Dealers Association of Canada (IDA) and Market Regulation Services Inc. (RS) which are now one organization)

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 July 2009. While every effort has been made to ensure that this information is current and correct, CSI cannot ensure its accuracy.

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