Quick Links

About

Monitoring, evaluating, and mitigating compliance risks have never been more important. With ever-increasing financial product complexity and client diversity, as well as increased scrutiny by regulators compliance, specialists must be adept at problem-solving and analyzing in a fast-paced, ever-changing environment.

The Applied Investment Dealer Compliance (AIDC) course provides compliance employees at securities firms with the opportunity to role-play and deal with the real-life scenarios that crop up daily in retail or institutional account settings. This opportunity for hands-on interactive learning empowers students to apply their new skills at their own firm, preparing them for further advancement in their compliance careers.

What skills will you develop?

  • Understand compliance violations in both retail and institutional account settings
  • Identify possible compliance violations including: lack of suitability, insider trading, front running, manipulative trading, unauthorized discretionary trading, trading of restricted list stocks, improper sale from control position and violation of cash account rules
  • Identify the additional information required to determine whether a compliance violation has occurred
  • Analyze the additional information
  • Determine the appropriate course of action
  • Fulfill IIROC CE Compliance credits
  • Demonstrate the ability to apply the compliance knowledge gained through licensing courses within the NEW Certificate in Investment Dealer Compliance

Who should enrol?

The AIDC course is designed for financial professionals who are early to more advanced in their compliance careers. Retail account supervisors, trade desk supervisors, branch managers, and compliance officers in different settings would consider the course an asset for career advancement. The AIDC is specifically of interest to students who have completed CPH® and BMC, need to fulfill CE compliance requirements, or are working towards the Certificate in Investment Dealer Compliance.