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In-depth brokers and investment dealers

The definitive training you need as an audit and assurance professional who advises brokers and investment dealers. Get up-to-date information on regulation issues, risk management and accounting issues that affect the securities industry.

The Canadian securities industry can be challenging. Equip yourself with the right knowledge and skills to navigate the important issues when providing accounting services for brokers and investment dealers.

In this comprehensive course, you will learn about the investment industry and its regulatory environment, as well as best practices in risk management, financial reporting and auditing to support your clients in securities.

Note: A prerequisite module is required, to ensure that you have a solid background on the business activities of the securities industry. It is included in the purchase of this course.

Testimonials from course participants

“The breadth of the material covered was spot on, with the right number of example problems to work through to drill the concepts into my head, but not too many that I was bored.”

“I found that the math portion of the course was very helpful in balancing out the lectures and getting people involved.”

You will learn about:

  • the Canadian securities industry and different types of brokerage activities
  • key issues for the Canadian securities regulatory environment
  • operations, books and records
  • risk-adjusted capital and risk management
  • accounting considerations, including IFRS updates
  • financial reporting and auditing services for brokers and investment dealers

Who should attend?

Professional accountants and other business leaders who:

  • provide audit, assurance and other services to securities brokers and dealers
  • work in a securities broker or dealer setting


Member Development and Support

Tel: 1-800-268-3793

Email: [email protected]