Event Calendar
In-depth Brokers and Investment Dealers Course
Presented in cooperation with IIROC
September 19-21, 2012
St. Andrew's Club & Conference Centre
Toronto, ON
COURSE OUTLINE
The program includes a pre-course on-line module, and a two-and-a-half-day facilitated course with lectures and work sessions. It provides participants with an intermediate-level of knowledge of the Canadian securities industry, and the operations and function of brokers and investment dealers, including regulatory requirements. This course is considered the definitive training program for professionals providing audit, assurance and other services to brokers and investment dealers, and for professionals who work in a securities broker or dealer setting.
Who Should Attend:
- Chartered accountants and other professionals who provide audit, assurance and other services to securities brokers and dealers
- Chartered accountants and other professionals who work in a securities broker or dealer setting
SESSIONS INCLUDE
- Background to the Canadian securities industry and types of brokerage activities (on-line)
- Overview of the Canadian securities industry and the regulatory environment
- Books and records, operations
- Risk-adjusted capital
- Accounting considerations including IFRS updates
- Reporting, risk management and auditing brokers and investment dealers
CPD CREDITS
Up to 23 hours
TUITION
$2,195 (plus HST)