Deep understanding of ETF regulatory requirements in Canada for investment professionals
Covers KYP, KYC, and suitability determination obligations under CIRO rules
Assesses compliance implications of various ETF structures including open end, closed end, index based, synthetic, and leveraged ETFs
Explores national instrument 41/101 UMIR and ETF creation/redemption process
Qualifies for multiple continuing education credits including FP Canada, CSF, IDD, and MFD
Summarized by Shop
The continuing education course “ETF Compliance” is designed to give investment professionals working under CIRO and FP Canada as well as insurance licensees a deep understanding of the regulatory requirements surrounding exchange-traded funds (ETFs) in Canada. Whether you work in the investment dealer or mutual fund dealer division or fo
CE Credit
Required (mark of 5/8 or higher on quiz)
Category
CSF pending, FP Canada 2.0 Financial Planning, IAFE 2.0/1.0 Credit, IDD, CIRO 2.0 Compliance, Institut de pl fin 2.0 SC, NP MFD, CIRO 2.0 Business Conduct
Format
Continuing education course
Language
English
Eligibility
Investment professionals working in investment dealer, mutual fund dealer, or financial planning divisions
