Explore the regulatory framework governing takeover bids and insider trading in Canada, emphasizing market integrity and compliance.
Explore the circumstances and processes involved in withdrawing trading privileges, including delisting scenarios and their impact on investors and companies.
Explore the critical role of Anti-Money Laundering (AML) and Anti-Terrorist Financing (ATF) regulations in the mutual fund industry, focusing on compliance obligations, penalties, and best practices.
Explore the critical role of record-keeping in mutual fund management, focusing on compliance, client accounts, transaction records, and best practices for documentation.
Explore the essential documentation and regulatory requirements for managed accounts under IIROC guidelines, including agreements, compliance, and best practices.
Explore the five primary ethical values guiding financial advisors: duty of care, integrity, professionalism, compliance, and confidentiality. Learn how these values ensure ethical conduct and enhance client relationships.
Explore the critical importance of compliance in the Canadian securities industry, focusing on provincial laws, SRO regulations, and the consequences of non-compliance.
Explore the organizational structure of sell-side trading firms, focusing on the roles of back, middle, and front office functions in supporting equity sales and trading activities, with an emphasis on compliance and risk management.
Explore the registration requirements for securities dealers and investment advisors in Canada, including the role of the National Registration Database (NRD), the process for becoming a Registered Investment Advisor or Investment Representative, and ongoing compliance obligations.
Explore the National Do Not Call List (DNCL) regulations, obligations for telemarketers and investment advisors, and the consequences of non-compliance within the Canadian financial landscape.
Explore the intricacies of declaring a short sale, including regulatory compliance, order marking, and practical examples within the Canadian financial market.
