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What will you learn about?

  • Construct realistic behavioural and results goals.
  • List the core self-management disciplines, and prioritize them based on your personal development objectives.
  • Develop a suitable marketing and campaign strategy for your business.
  • Determine how to organize the operations of your business to maximize efficiency and effectiveness.
  • Create a deliverable client service model, and effectively manage your time.
  • Evaluate your core business model, including the merits of incorporating your practice and the value of your book.
  • Create your action plan.
  • Explain important aspects of your dealer relationship, including rules regarding outside business activities and off-book commissions.
  • Describe the Know your Client and Know Your Product rules, and explain the importance of transparency.
  • Explain what conflicts of interest are and how to respond to them.
  • Apply the appropriate process for complaint resolution.

How will you learn?

CSI’s online learning system helps you meet your study goals. You’ll benefit from:

  • Learning objectives and goals that keep you focused
  • Interactive tools to help you evaluate and apply course material
  • Course updates
  • Assistance from CSI’s academic support specialists

What is the course syllabus?

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Module 1 – Developing Your Mutual Fund Business

In this module, we define the different types and characteristics of effective goals and core self-management disciplines. We also provide a guideline for the different types of marketing strategies, and we explain how to design an effective campaign to execute your marketing plan. When you have completed this module, you will be able to grow your business in a disciplined way and formulate strong marketing campaigns to achieve good results.

Topics covered in this module:

  • Goal Setting and Self-Management
  • Marketing and Campaigns

Module 2 – Managing Your Mutual Fund Business

In this module, we address issues related to the effective operation of your business organization. We discuss the streamlining of key operational tasks and activities to help get your business operating efficiently and reduce growing pains as you introduce new staff into your business. We also focus on ways to improve personal productivity and structural efficiency. Furthermore, we address the process of client segmentation to help you develop an effective and deliverable client service model. The module ends with an action plan you can create that will help you apply what you learned and make informed decisions to achieve your ideal business model.

Topics covered in this module:

  • Business Organization
  • Time Management and Client Service
  • Business Management

Module 3 – Adhering to Professional Sales Practice Standards

In this module, we describe your obligations and responsibilities in your relationship with the dealer firm that employs you. The module then describes the current regulatory environment involving your relationships with your clients. When you have completed the reading, you will be able to explain your obligations regarding issues such as product suitability, transparency, conflicts of interest, recommending leverage, and referral arrangements. Finally, we describe the appropriate process for complaint resolution and your obligations regarding fair and proper handling of client complaints.

Topics covered in this module:

  • The Dealer Relationship
  • Know your Client and Know Your Product
  • Conflicts of Interest
  • Complaint Resolutions

Module and Course Completion

Upon successfully completing each course module (by completing the module’s online quiz), you will earn multi-jurisdictional continuing education (CE) credits as shown in the table below. Thus, you will earn CE credits incrementally as you progress through the course.

Once you complete all modules in this course, you will have completed the full course. You can then download a Notice of Course Completion through your student profile. This notice will remain on your profile as formal confirmation of your course completion.