- Learning
- Certificate in Financial Services Advice (CFSA)
- Certificate in Advanced Financial Advice (CAFA)
- Certificate in Advanced Investment Advice (CAIA)
- Certificate in Small Business Banking (CSBB)
- Certificate in Technical Analysis (CITA)
- Certificate in Investment Dealer Compliance (CIDC)
- Certificate in Derivatives Market Strategies (CDMS)
- Certificate in Retirement Strategy (CRS)
- Certificate in Estate Planning & Trust Strategy (CETS)
- Certificate in Commercial Credit (CICC)
- Certificate in Fixed Income Trading and Sales (CFIT)
- Certificate in Equity Trading and Sales (CEQT)
- Certificate in Personal Banking (CPB)
- Certificate In Bank Management (CBM)
- Micro-Certificate in Alternative Investments (MCAI)
- View All Certificate Pathways
- Fellow of CSI (FCSI®)
- Personal Financial Planner (PFP®)
- Chartered Investment Manager (CIM®)
- Certified International Wealth Manager (CIWM)
- Designated Financial Services Advisor (DFSA™)
- Estate & Trust Professional (MTI®)
- CSI Path to Certified Financial Planner (CFP®)
- CSI Path to Qualified Associate Financial Planner (QAFP™)
- CSI Path to Financial Planning Program – Quebec (IQPF)
- View All Designation Pathways
- Personal Financial Services Advice (PFSA)
- Financial Planning I (FP I)
- Financial Planning II (FP II)
- Financial Planning Supplement (FPSU)
- Investment Advisors Training Program (IATP)
- Financial Planning Integration Course (FPIC)
- Applied Financial Planning Certification Exam (AFP)
- CIWM Certification Examination
- Life Licence Qualification Program Insurance Course (LLQP)
- View All Courses
Featured Product
CFSA: Preferred Credential for Personal Bankers
Better understand your clients' unique financial needs and goals to build positive client relationships with the CFSA.
Featured Product
PFP® Approved Under FSRA Title Regulation
FSRA has approved the Personal Financial Planner (PFP®) designation for Financial Planner title use in Ontario.
Featured Product
Explore Multiple Career Paths
Explore different roles and opportunities available in the financial services industry and view the recommended courses and credentials.
Featured Product
Meet CE Requirements Quickly and Easily
Explore continuing education courses and meet your requirements for CSI, IIROC, CSF and other professional associations or certifications.
Featured Product
Drive Effective Client Conversations
Get started with the Personal Financial Services Advice (PFSA) course to enhance your soft skills and build profitable client relationships.
Featured Product
Explore Multiple Career Paths
Explore different roles and opportunities available in the financial services industry and view the recommended courses and credentials.
- Exams & Administration
Featured Product
Canadian Securities Course CSC®
Featured Product
Preparing to Take Your CSI Exam?
Write your exam through Remote Proctoring from any location (including your home) or In-Person at one of our test centres.
- Credentials
Featured Product
Credentials That Matter
Meet the highest standards of experience & education for financial professionals with CSI certificates, designations & fellowship.
Featured Product
FCSI® – The Highest Honour in Financial Services
Join an elite group of leaders in financial services and make a meaningful impact for your clients with the Fellow of CSI (FCSI®).
Featured Product
PFP® – The Premier Credential for Financial Planners
Master financial planning skills with the ISO and FSRA-certified Personal Financial Planner (PFP®) designation.
Featured Product
CIM® – The Recognized Credential for Investment Managers
Learn how to manage money on a discretionary basis for sophisticated clients with Chartered Investment Manager (CIM®).
Featured Product
CIWM – The Leading Credential for Wealth Managers
Establish your credibility to address the unique needs of affluent clients with Certified International Wealth Manager (CIWM).
Featured Product
MTI® – Prestigious Credential for Trust & Wealth Managers
Gain expertise in the regulations and tax implications that are crucial for management and transfer of wealth with MTI®.
- Corporate Solutions
Featured Product
Find Qualified Candidates Faster
Talent Pro connects organizations with qualified and licensed candidates to fill active opportunities in the banking industry.
Featured Product
Find Qualified Candidates Faster
Talent Pro connects organizations with qualified and licensed candidates to fill active opportunities in the banking industry.
- Insights
Featured Product
Webinars to Boost Financial Literacy
During Financial Literacy Month we aim to help Canadians understand their finances better & navigate the changing economic landscape.
Featured Product
Become a Speaker With CSI
CSI Podium offers designation holders opportunities to speak on topics to benefit their clients, colleagues, and the investing public via webinars.
- About
Featured Product
PFP® Approved Under FSRA Title Regulation
FSRA has approved the Personal Financial Planner (PFP®) designation for Financial Planner title use in Ontario.
Featured Product
PFP® Approved Under FSRA Title Regulation
FSRA has approved the Personal Financial Planner (PFP®) designation for Financial Planner title use in Ontario.
What will you learn about?
Legal Aspects of Financial Planning
- Contractual Obligations
- Property
- Security
- Legal & Professional Liability
Ethical Practice in The Financial Services Industry
- Values as the Foundation for Ethical Practice
- Ethical Systems
- Nature of Ethical Dilemmas
- Ethics and Trust
What is the course syllabus?
Chapter 1 - Contractual Obligations
Topics covered in this chapter are:
- Formation of Contracts
- Form of Contracts
- Interpretation of Contracts
- Extinction of Obligations
- Formal Notice
- Damages
- Penal Clauses
- Execution of Judgments
Chapter 2 - Property
Topics covered in this chapter are:
- Kinds of Property
- Patrimony
- Rights Over Property
- Family Law Concepts
Chapter 3 - Security
Topics covered in this chapter are:
- Types of Security
- Prior Claims
- Hypothecs
- Instalment Sale
- Leasing
- Security Pursuant
- Securities on Ships
- Suretyship
- Solidarity
- Publication of Rights
- Creditor Ranking Upon Payment
- Bankruptcy
Chapter 4 - Legal and Professional Liability
Topics covered in this chapter are:
- Contractual Liability
- Liability Resulting from the Law
- Reception of a Payment Not Due and Unjust Enrichment
- Claims for Damages
- Exoneration Clauses
- Professional Liability
- Legislation
Chapter 5 - Values as the Foundation for Ethical Practice
Topics covered in this chapter are:
- Value Awareness
- Nature of Values
- Values Characteristics and Changes Over Time
- Values Clarification
- How Values Influence Goals
- Importance of Values to any Organization
- Importance of Values to the Individual
- Importance of Values to Society
- Ethical Relativism
Chapter 6 - Ethical Systems
Topics covered in this chapter are:
- Values of Utilitarian Ethics
- Values of Duty Ethics
- Values of Group Ethics
- Values of Existential Ethics
- Role of Reason in Existential Ethics
- Applicability of each Ethical System
Chapter 7 - Nature of Ethical Dilemmas
Topics covered in this chapter are:
- When our Values Clash With Each Other
- Types of Dilemmas
- An Ethical Decision-making Process
Chapter 8 - Ethics and Trust
Topics covered in this chapter are:
- Trust is a Direct Result of Ethical Behaviour
- Trust and Expectations
How will you learn?
CSI’s online learning system helps you meet your study goals. You’ll benefit from:
- Textbook readings available in PDF and printed format
- Learning objectives that keep you focused
- End of chapter activities to help you reinforce your learning and identify topics that may need to be revisited during exam preparation
- Two self-assessments so that you can assess your progress
- Online assistance from CSI’s academic support specialists