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What is the course syllabus?

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Module 1

What is the Role of the Gatekeeper?

Topics covered in this chapter are:

  • The Traditional Role of the Gatekeeper
  • The Role of the Gatekeeper in the Securities Industry
  • Who is the Gatekeeper?
  • Gatekeeper Regulations
  • Gatekeeper Expectations

Why is the Gatekeeper Important?

Topics covered in this chapter are:

  • Damage to the Markets
  • Damage to the Public
  • Damage to the Dealer Member

Module 2

Gatekeeper for the Capital Markets

Topics covered in this chapter are:

  • The Gatekeeper Obligations
  • The Responsibilities of the Gatekeeper under IIROC Trading Rules

Module 3

Gatekeeper for the Public

Topics covered in this chapter are:

  • Money Laundering and Terrorist Financing
  • Fraud
  • Illegal Insider Trading

Module 4

Supervisory Implications for IIROC Dealer Members

Topics covered in this chapter are:

  • Supervisor Implications for the Retail Supervisor
  • Supervisions Implications for the Institutional Supervisor

Module 5

Recent Gatekeeping cases and IIROC Actions

Topics covered in this chapter are:

  • The Case of J. Smith and AB Securities
  • The Case of A. Brown, B. White, C. Black and WX Securities