In-depth brokers and investment dealers

This comprehensive course provides definitive training for professionals providing audit, assurance and other services to brokers and investment dealers. Get up to date on regulation issues, risk management and accounting considerations impacting the securities industry.

Event Details

Location and date:
Toronto December 18-19, 2017

The Canadian securities industry can be complicated. Equip yourself with the right knowledge and skills to navigate important regulatory issues and accounting concepts of the Canadian securities industry, and the operations and function of brokers and investment dealers, including regulatory requirements.

This course provides valuable insight and up-to-date practical advice on the investment industry and regulatory environment, books and records, and risk-adjusted capital. You will also have the opportunity to learn about the unique operations and function of brokers and investment dealers in business.

Note: This course requires the completion of a prerequisite module, which is included in the course, to ensure that you have a solid background on the business activities of the securities industry.


“The breadth of the material covered for the number of days was spot on. There was 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 with mixing up the lecture, getting people involved.”

- 2016 course participants

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


14 CPD hour(s)
Pricing & registration

You will learn about:

  • the Canadian securities industry and types of brokerage activities)
  • the regulatory environment of the Canadian securities industry
  • 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 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

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:

Member Development and Support
Tel: 1-800-268-3793

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