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Effective Management Seminar

Icon SeminarPrepare 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:

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.

Review the available sessions below, click the radio button of your choice and add it to your shopping cart by clicking the button to the right.
SelectClass/SessionLocationDate & TimeAvailabilityPrice
Effective Management SeminarToronto2 Days
Tue, 1 Nov 2016 - Wed, 2 Nov 2016
Effective Management SeminarMontréal2 jours
mar., 8 nov. 2016 - mer., 9 nov. 2016
Effective Management SeminarToronto2 Days
Tue, 6 Dec 2016 - Wed, 7 Dec 2016