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About Compliance

The securities industry is one of the most complex and sophisticated businesses that touches the lives of almost everyone in Canada. The industry is highly regulated, being subject to a large number of federal and provincial statutes and regulations, along with industry rules and policies prescribed by self-regulatory organizations. Compliance is about knowing and following the rules that govern the business practices of investment professionals and impact on the investing public.

Investment professionals registered with the Investment Dealers Association (IDA) are required to complete 12 hours of compliance continuing education courses every 3 years. Our courses, offered mainly in 1 hour online segments, are designed to meet those requirements and to enhance the knowledge and skill level of participants. Subscription for courses can be on a corporate or individual level.

Sample of Courses Available Now
Anti-Money Laundering - Securities Dealers, Part 2: Compliance and Suspicious Activities
1 CE Hr
$55.00
Anti-Money Laundering - Securities Dealers, Part 3: Refresh and "BDSC's Case"
1 CE Hr
$55.00
Anti-Money Laundering - Securities Dealers, Part 4: Refresh and the TVC case
1 CE Hr
$55.00
Anti-Money Laundering - Securities Dealers, Part 5: Refresh and the Case of the Tobacco Farm
1 CE Hr
$55.00
Exchange Traded Funds (ETF)
1 CE Hr
$55.00
Privacy, Part 2: Refresh and "BDSC's Case"
1 CE Hr
$55.00
See Full Course Listing
Total: 18 Courses

We also offer a complete suite of Compliance Tools (for calendaring, pre-audit checks, tracking, monitoring, etc.).
Click here for more details.

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[October 22, 2017]

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