In-depth brokers and investment dealers

This top-rated course is considered the definitive training program for professionals providing audit, assurance and other services to brokers and investment dealers.

Event Details

Location and date:
Toronto October 19-21, 2016

This program consists of a pre-course online module and in-class technical lectures, with hands-on work sessions delivered by brokerage industry experts. You will be provided with an intermediate level of knowledge of the Canadian securities industry, and the operations and function of brokers and investment dealers, including regulatory requirements.

Additional options and pricing may be available. See pricing and registration for more details.


23 CPD hour(s)
Pricing & registration

You will learn about:

  • background to the Canadian securities industry and types of brokerage activities (online)
  • overview of the Canadian securities industry and the regulatory environment
  • operations books and records
  • risk-adjusted capital
  • accounting considerations including international financial reporting standards (IFRS) updates
  • reporting, risk management and auditing brokers and investment dealers

Who should attend?

Professional accountants and other professionals who:

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

More Details:

Venue[s] and Accommodation[s]


CPA Canada Offices
277 Wellington Street West, 2nd Floor, Toronto, Ontario M5V 3H2


Hilton Garden Inn
92 Peter Street, Toronto, ON M5V 2G5

Hyatt Regency Hotel
370 King Street West, Toronto, ON M5V 1J9

Residence Inn by Marriott
255 Wellington Street West, Toronto, ON M5V 3P9
t.:416-581-1800 or toll-free at 1-800-960-6752
Rate:$209/night plus taxes

Frequently asked questions:

Special requirements: 

Your In-Depth Brokers and Investment Dealers course training begins before you arrive at the course site. The first module of the course is online and provides background on the business activities of the securities industry.


Please contact:

CPA Canada Professional Learning and Development Customer Service
Tel: 1-888-337-3242

Diya Gill, manager, Professional Learning and Development
Tel: 416-204-3496


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