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School: CSI
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Exchange-Traded Funds
Course Format: Online
This course examines the explosive growth in popularity of Exchange-Traded Funds (ETFs) in North America, which has mushroomed from a handful of funds in the early 1990s to more than 100 trading today. While they have similarities to index mutual funds and other index-linked investments, ETFs are traded on stock exchanges where prices fluctuate through the day. This course is designed to give I...
 

Equity Monetization
Course Format: Online
Affluent clients with significant holdings in a publicly-listed equity position are often faced with a difficult scenario. These large investments limit their liquidity and prevent optimal portfolio diversification. Often clients are unable to diversify without off-loading their investment and incurring large capital gains tax liabilities. The Equity Monetization Course will teach you how t...
 

Estate Planning
Course Format: Online
Estate planning should always be an important consideration in the management of an individual’s wealth. In this course, you will see how an estate plan can be designed to help clients meet beneficiaries’ needs, reduce costs associated with transferring wealth, and minimize taxes payable after death.
 

Covered Call Writing
Course Format: Online
Covered call writing is a popular investment strategy in many market conditions, but its benefits are often misunderstood. This course explains how covered call writing works and how it can fit into a broad spectrum of investing activities. You’ll review the basics of this strategy and work through an action plan in how to apply it.
 

Corporate Governance
Course Format: Online
To gain the trust of clients and staff and comply with industry regulators, financial services firms must practice within the highest ethical standards. Corporate Governance is the process and structure used to guide and direct the business affairs of corporations. This module reviews why a corporate governance system is important and how it is implemented within an organization. Corporate gove...
 

Broker Liability
Course Format: Online
This course explains what broker liability is and the contractual and fiduciary responsibilities of an Investment Advisor under common and civil law. It describes steps Advisors can take to protect themselves from legal action and what to do if a complaint or suit is filed.
 

Anti-Money Laundering
Course Format: Online
This course provides insight and understanding into money laundering and terrorist financing and steps that can be taken to detect and combat it. You’ll gain an overview of relevant Canadian regulations, general laundering techniques and techniques of specific concern to the securities industry. You’ll learn about preventative measures used to design and implement a compliance regime ...
 

Chief Financial Officers (CFOs)
Course Format: Classroom
CSI is the exclusive provider of this required course, designed to ensure that Chief Financial Officers (CFOs) in the securities industry demonstrate their required level of proficiency in financial reporting rules. This course guides CFOs and prospective CFOs in the securities industry to understand regulatory requirements and prepare to take the Chief Financial Officers Qualifying Exam mandat...
 

Chief Compliance Officers Qualifying Examination
Course Format: Classroom
The Chief Compliance Officers Qualifying Examination is the only course that comprehensively covers the non-financial compliance domain. This self study course will strengthen your understanding of regulation and give you the competencies to help create and maintain a culture of compliance in your organization. Current and future Chief Compliance Officers (CCOs) are expected to be required to t...
 

Investment Advisor
Course Format: Classroom
Developed exclusively by CSI, the Investment Advisor Training Program significantly enhances a firm’s internal training program by adding comprehensive content that helps its staff gain the practical knowledge and skills required to work effectively in an advisory or sales capacity within the securities industry. Newly enhanced and updated after an internal program review and to reflec...
 

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