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This comprehensive course provides definitive training for professionals providing audit, assurance and other services to brokers and investment dealers. Get up to date on the regulation issues, risk management and accounting considerations affecting the securities industry.
Fully understanding the Canadian securities industry can be a challenge. Equip yourself with the right knowledge and skills to navigate its important regulatory issues and accounting concepts, and the operations and functions of brokers and investment dealers, including regulatory requirements.
This course provides valuable insight and current 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.
Testimonials from course participants
“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.”
Additional options and pricing may be available. See pricing and registration for more details.
Professional accountants and other professionals who:
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Member Development and Support
November 22, 2018
CPA Canada’s annual financial literacy conference is a must-attend for those who want to learn how to improve the financial health of Canadians.
October 1, 2018
The ONE is Canada’s must-attend, multi-track CPA event of the year. Stay at the top of your game with future-focused sessions, thought-provoking keynotes, prime networking opportunities and a first-class exhibition floor.
October 15, 2018
Stay up-to-date on critical indirect tax issues and network with other indirect tax professionals at Canada’s largest and longest-running indirect tax event.