Name: Modern Risk and Operations Compliance for Investment Dealers
Price: 99 CAD
Rating: 4.5 (2 reviews)

What You'll Learn

check_circleUnderstand CIRO's regulatory framework.

check_circleApply the 2025 CIRO Compliance Report guidance.

check_circleManage T+1 settlement cycle changes.

check_circleImplement robust cybersecurity measures.

check_circleNavigate CIRO's registration requirements.

check_circleEnsure continuous CE compliance for staff.

About This Course

Welcome to "Modern Risk and Operations Compliance for Investment Dealers," designed for working professionals seeking an intermediate to advanced understanding of the regulatory landscape, specifically within the Canadian Investment Regulatory Organization (CIRO) framework. This program delves into the intricate world of compliance, risk management, and operational best practices, equipping you with the knowledge to navigate effectively and uphold market integrity.

This course leverages the 2025 CIRO Compliance Report as an essential resource, offering comprehensive insights into prevailing issues and challenges within the regulated financial sector. It aims to enhance investor protection and fortify market integrity by providing clear guidance crucial for understanding evolving regulatory expectations and proactively addressing potential vulnerabilities.

Key topics covered include:

CIRO's Role and Framework: Explore the establishment and mandate of the Canadian Investment Regulatory Organization (CIRO), its Three-Year Strategic Plan, and the integration of legacy compliance teams.
Annual Risk Assessment: Understand the harmonized Annual Risk Questionnaire (ARQ) and new risk models for Business Conduct Compliance, Financial & Operations Compliance, and Trading Conduct Compliance.
Operational Compliance: Delve into the transition to T+1 settlement, heightened cybersecurity concerns, and CIRO's oversight of Crypto Asset Trading Platforms (CTPs).
Financial Compliance: Review effective credit risk management, client excess margin adjustments, and reconciliation deficiencies in mutual fund dealers, alongside strategies for maintaining Risk Adjusted Capital (RAC).
Trading Practices: Examine risks associated with algorithmic trading, client identifier requirements for listed securities, and new UMIR rules on short selling and extended failed trades.
Regulatory Compliance: Gain insights into the Client Focused Reforms (CFR) Phase 2 sweep, Derivatives Rule Modernization Project, and the collaborative review of sales practices in Canadian bank branches.
Registration and Proficiency: Understand changes to CIRO's registration framework, Relevant Investment Management Experience (RIME) for Portfolio Managers, and supervisory proficiency requirements.
Membership and Continuing Education: Address timely notification of Approved Person cessations, dual-registration for dealers, and crucial Continuing Education (CE) requirements.
Business Operations: Learn about CIRO's notification requirements for significant business alterations and the importance of maintaining current Policies and Procedures (P&Ps).

By the end of this course, you will be equipped to navigate the complex world of investment dealing, ensuring your firm's compliance, managing risk effectively, and contributing to strong market integrity.

Your Instructor

Continuum Learning Group

Professional Growth Without Borders

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Continuum Learning Group is an international Continuing Professional Development provider delivering high-quality learning experiences across industries and regions. Designed for modern professionals navigating rapidly changing global standards, the organisation offers accessible CPD programs in law, finance, engineering, architecture, healthcare, technology, leadership, and more. Its courses are structured around universal competencies—ethics, compliance, technical proficiency, and emerging trends—ensuring that learners worldwide can maintain professional relevance and meet regulatory expectations. Continuum Learning Group’s mission is to make lifelong learning seamless, borderless, and adaptable to every profession.

Credit Information

Is this course eligible for my CPD requirements as a Canadian CPA?

Provincial regulators of CPAs in Canada do not require that independent providers of CPD be approved to offer courses. Instead, individual CPAs are responsible for assessing whether a CPD activity meets their requirements, and may take activities from any source provided those requirements are met.

Every course offered on LearnFormula is delivered by a qualified subject matter expert or learning organization, and advances learning objectives that are relevant to the responsibilities or professional competencies of Canadian CPAs. All activities on LearnFormula are quantifiable in terms of hours, and are also verifiable, in that users receive documented evidence of their attendance via a certificate of completion after finishing a course (and this certificate is stored by LearnFormula indefinitely). Nearly 100,000 Canadian CPAs successfully satisfy their CPD requirements via LearnFormula on an annual basis.

What Students Are Saying

4.5

Student's Choice

2 reviews

Frequently Asked Questions

We are a registered provider with 327+ associations and regulatory bodies worldwide. We operate across 29 global markets including Canada, the US, Australia, and the UK. Every course page clearly displays its specific accreditations. Upon completion, you receive a professional certificate that can be validated online. Our certificates include all necessary accreditation details, credit hours, and completion dates, and are formatted specifically to meet the submission requirements of most global regulatory bodies.