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What will you learn about?

  • The regulatory system for securities supervision in Canada
  • The role of the supervisor and supervision structures
  • Dealing with clients and handling conflicts of interest
  • How to identify money laundering and other suspicious activities
  • Reporting and recordkeeping requirements, and how to handle client complaints
  • Institutional Trading and Supervision

What is the course syllabus?

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Chapter 1 - The Role of the Supervisor

Topics covered in this chapter are:

  • What is supervision?
  • The objectives of supervision
  • Supervision, ethics, and industry rules

Chapter 2 - Supervision Structures

Topics covered in this chapter are:

  • General supervision requirements
  • Designated Supervisors
  • Supervision of accounts and specific areas
  • Gatekeeper for the Public
  • Supervision best practices

Chapter 3 - Supervision Skills

Topics covered in this chapter are:

  • Leadership and Management
  • Working with Change
  • Ethical Decision-Making

Chapter 4 - The Canadian Regulatory Framework

Topics covered in this chapter are:

  • General Principles of Securities Regulation
  • Key Government Players Involved in Securities Regulation
  • Self-Regulatory Organizations
  • Money Laundering and Terrorist Financing in the Investment Industry
  • Civil and Common Law Obligations and Liabilities

Chapter 5 - The Gatekeeper's Responsibilities

Topics covered in this chapter are:

  • The Gatekeeper’s Traditional Role
  • Who is the Gatekeeper?
  • Why is the Gatekeeper’s Role so Important?
  • The Gatekeeper’s Obligations
  • Supervision Implications for IIROC Dealer Members

Chapter 6 - Risk Management

Topics covered in this chapter are:

  • The Principles of Risk Management
  • Key Types of Risks
  • Risk Assessment
  • Regulatory Considerations
  • Risk Analysis Strategy Development

Chapter 7 - Opening Client Accounts

Topics covered in this chapter are:

  • The New Account Application Form (NAAF)
  • Dealing with Seniors and Other Vulnerable Clients
  • Types of Accounts and Clients
  • Account Documentation
  • Account Opening and Transfer Requirement Issues

Chapter 8 - Conflicts of Interest and Disclosures

Topics covered in this chapter are:

  • Conflicts of Interest
  • Fundamental Types of Conflicts of Interest
  • Advisor-Client Conflicts of Interest
  • Conflict of Interest Disclosures
  • Marketing and Advertising/Sales Communications

Chapter 9 - Maintaining Client Accounts

Topics covered in this chapter are:

  • Know Your Client (KYC) and Suitability Requirements
  • Supervision of Client Accounts
  • The Cash Account Rule
  • Conducting Trade Reviews
  • Dealer Member Checks and Balances

Chapter 10 - Investment Banking and Trade Desk Supervision

Topics covered in this chapter are:

  • Institutional Versus Retail Business Lines
  • Investment Banking
  • The Research Department
  • Equity and Fixed Income Trading
  • Supervision Program for Derivatives and Complex Products

Chapter 11 - Handling Client Complaints

Topics covered in this chapter are:

  • Avoiding Client Complaints
  • Types of Client Complaints
  • Required Procedures for Regulatory Complaints
  • Additional Client Complaint Avenues

Chapter 12 - Dealing with Regulators

Topics covered in this chapter are:

  • Dealing with Real or Potential Regulatory Infractions
  • IIROC’s Investigation Procedures
  • Alternatives for Dispute Resolution

How will you learn?

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

  • Learning objectives that keep you focused
  • Online post-chapter review questions to assess your progress
  • Applied learning simulation involving situations that you will face in the role of supervisor
  • Course updates to ensure you’re learning the most current and up-to-date practical material in your studies
  • Assistance from CSI’s academic support specialists
  • Textbook readings available in PDF, e-Book and printed format
  • Access the course materials through your computer, laptop, tablet, or phone. Or, download the e-Book for offline reading

Course Completion, Wall Certificate and Digital Badge

Upon successfully completing this course, you will be able to download a Notice of Course Completion available through your student profile. This will remain on your profile as formal confirmation of course completion.

You can also accept a digital badge through your student profile after successful course completion. Digital badges are portable image files that allow you to share your credentials across the web. You can post them to your email signature, personal website, social media channels—even to electronic copies of your resume.

CSI will mail you a wall certificate within 4 – 6 weeks of course completion. Frames to display your certificate are available. Please ensure that your First and Last Name on your profile matches your First and Last Name on your Government Issued Photo identification – this will ensure you receive an accurate certificate.

CSI will be pleased to issue an Honours Certificate to all students who obtain a final course mark of 85% or higher.