Canadian Securities Institute

Advocis, The Financial Advisor's Association of Canada is excited to partner with The Canadian Securities Institute to offer continuing education and custom training for financial services to its members at a discounted rate (10%). The Canadian Securities Institute (CSI, formally, CSI Global Education) is a Canadian organization for investment professionals that offers licensing courses, advanced certifications, continuing education and custom training for financial services professionals in Canada and internationally.

Courses

Canadian Securities Course

Canadian Securities Course


Upon completion of this course, students will learn the following topics:

  • The Canadian securities industry and the regulatory environment
  • Market and economic events impacting investment performance
  • Understanding and analyzing corporate financial statements
  • Financial instruments: fixed income, equities, managed products, structured products, fee based accounts and derivatives
  • Company, industry and market performance/analysis
  • The portfolio management process and asset allocation
  • Setting financial goals, the financial planning process and taxation
  • Industry standards of conduct and the code of ethics
  • The institutional marketplace
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Format: Online learning and two paper-based or computer-based multiple choice exams

CE Credits: Refer to https://www.csi.ca/student/en_ca/courses/pdf/ce_chart.pdf

Additional Material: None

Completion Requirements:

  • Passing mark is 60% (3 attempts allowed per exam)
Enrolment period: 1 year
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  • A robust set of online searchable FAQs for each individual chapter
  • An online study planner that shows you how to complete your studies in a 3-, 6-, 9-, and 12-month window
  • Learning objectives that keep you focused
  • Interactive tools to help you evaluate and apply course material
  • Online post-chapter review questions to assess your progress
  • Course updates to ensure you're learning the most current and up-to-date practical material in your studies
  • Online discussion forums and assistance from CSI's academic support specialists
  • Six Online Audio Podcasts
  • Self-study: This is designed as an online, self-study course, with success highly dependent on the student's personal discipline.
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Members: $999 + applicable taxes

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Building a Mutual Fund Advisory Practice

Building a Mutual Fund Advisory Practice


Upon completion of the course students will be able to:

  • Implement effective selling techniques to grow their book of business
  • Increase networking to find new clients and increase credibility with employers
  • Identify the right clients for growing their business
  • Turn theory into practice by developing a business plan
  • Develop skills to identify client needs and constraints, improving recommendations
  • Improve understanding of regulatory requirements, increasing knowledge of clients
  • Increase knowledge of opportunities and risks of investment products, improving client knowledge and investments
  • Sell a broader range of financial products, satisfying client demand for alternative investment products
  • Earn additional commissions through direct selling and referrals, increasing their book of business
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Format: Online learning and one paper-based or computer-based multiple choice exam

CE Credits: Refer to: https://www.csi.ca/student/en_ca/courses/pdf/ce_chart.pdf

Completion Requirements: Passing mark is 60% (3 attempts allowed)

Enrolment period: 1 year

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  • Self-study: This is designed as an online, self-study course, with success highly dependent on the student's personal discipline.
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Members: $515.00 plus applicable taxes

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Enhancing Client Relationships - CRM2

Enhancing Client Relationships - CRM2


Upon completion of this course student will learn the following topics:

  • The phases of CRM's implementation
  • New requirements for pre-trade disclosure, fixed income compensation, use of benchmark information, and client account statements
  • Enhanced trade confirmations and reporting on charges and compensation
  • Money-weighted versus time-weighted rates of return
  • Compliance and Supervision Issues
  • Elements of Communication and How to Handle Difficult Conversations
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Format: Online learning and one quiz

CE Credits: Refer to: https://www.csi.ca/student/en_ca/courses/pdf/ce_chart.pdf

Completion Requirements: Passing mark is 60% (unlimited attempts allowed)

Enrolment period: 6 months

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  • Self-study: This course is designed as an online, self-study course, with success highly dependent on the student's personal discipline.
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Members: $75.00 plus applicable; taxes

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Branch Compliance Officers Course

Branch Compliance Officers Course


  • Meet the provincial securities commissions' registration requirements as a branch manager or branch compliance officer
  • Ensure that the branch physical appearance conforms with good business practice and relevant legislation
  • Establish guidelines for sales representatives to adhere to regulatory requirements and in-house materials of the mutual fund dealer
  • Ensure that sales representatives respect the disclosure requirements to clients
  • Review orders for proper documentation, improper sales techniques, and leveraged purchases
  • Implement branch-level internal controls and procedures
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Format: Online learning and one paper-based or computer-based multiple choice exam

CE Credits: Refer to: https://www.csi.ca/student/en_ca/courses/pdf/ce_chart.pdf

Completion Requirements: Passing mark is 60% (3 attempts allowed)

Enrolment period: 1 year

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  • Self-study: This is designed as an online, self-study course, with success highly dependent on the student's personal discipline.
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Members: $400.00 plus applicable taxes

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90-day Mutual Funds Skills Builder

90-day Mutual Funds Skills Builder


Upon completion of this course students will learn the following topics:

  • Recognize the importance of ethics and trust between clients and themselves
  • Know the implications of recent legislation regulating the sale and distribution of mutual funds
  • Explain the various types of mutual funds and know the features of their dealer's and competing products
  • Provide judicious client advice by aligning the merits and drawbacks of various mutual funds based on a client's objectives and personal circumstances (Know Your Client rule)
  • Explain fees, purchase options and withdrawal options
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Format: Online learning and one quiz

CE Credits: Refer to: https://www.csi.ca/student/en_ca/courses/pdf/ce_chart.pdf

Completion Requirements: Passing mark is 60% (unlimited attempts allowed)

Enrolment period: 6 months

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  • Self-study: This course is designed as an online, self-study course, with success highly dependent on the student's personal discipline.
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Members: $180.00 plus applicable taxes

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Portfolio Theory, Asset Allocation, and Performance Measurement

Portfolio Theory, Asset Allocation, and Performance Measurement


Upon completion of this course students learn the following topics:

  • Portfolio theory and optimal asset mix
  • Passive and active investment strategies
  • Performance measurement and evaluation
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Format: Online learning and one quiz

CE Credits: Refer to: https://www.csi.ca/student/en_ca/courses/pdf/ce_chart.pdf

Completion Requirements: Passing mark is 60% (unlimited attempts allowed)

Enrolment period: 6 months

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  • Self-study: This course is designed as an online, self-study course, with success highly dependent on the student's personal discipline.
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Members: $75.00 plus applicable taxes

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Investment Funds in Canada

Investment Funds in Canada


Upon completion of this course, students will learn the following topics:

  • The financial markets and mutual fund industry
  • Your role as a mutual fund sales representative
  • The importance of the "Know your client" rule and how to apply it
  • Analyzing the risk-return relationship of investments
  • Explain the process of creating and managing investment portfolios that meets client's needs
  • The different types of mutual funds
  • The function of exchanges and clearinghouses
  • Assessing mutual funds performance and fee structure
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Format: Online learning and one paper-based or computer-based multiple choice exam

CE Credits: Refer to: https://www.csi.ca/student/en_ca/courses/pdf/ce_chart.pdf

Completion Requirements: Passing mark is 60% (3 attempts allowed)

Enrolment period: 1 year

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  • Self-study: This is designed as an online, self-study course, with success highly dependent on the student's personal discipline.
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Members: $385.00 plus applicable taxes

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ETFs for Mutual Fund Representatives

ETFs for Mutual Fund Representatives


Upon completion of the course students will be able to:

  • Know how trading on an exchange works
  • Examine the key features, structures and fundamentals of ETFs
  • Understand the distinctions between ETFs and Mutual Funds
  • Describe the disclosure requirements for ETFs
  • Expand your credentials with up-to-date knowledge of this new stock market offering
  • Enlist a systematic approach to investment management
  • List and describe the various types of ETFs
  • Explain the various risks that are specific to ETFs
  • Illustrate how ETFs can fit into a client portfolio
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Format: Online learning and one quiz

CE Credits: Refer to: https://www.csi.ca/student/en_ca/courses/pdf/ce_chart.pdf

Completion Requirements: Passing mark is 60% (unlimited attempts allowed)

Enrolment period: 6 months

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  • Self-study: This course is designed as an online, self-study course, with success highly dependent on the student's personal discipline.
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Members: $179.00 plus applicable taxes

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Behavioural Finance: Get Inside Your Client's Mind

Behavioural Finance: Get Inside Your Client's Mind


Upon completion of this course students will learn the following topics:

  • Behavioral Finance Micro versus Behavioural Finance Macro
  • Standard Finance versus Behavioral Finance
  • Decision making under uncertainty
  • Limitations of risk tolerance questionnaires
  • Investor biases defined
  • Ways to identify irrational behavior
  • Differences between cognitive and emotional biases
  • Behavioral investor types
  • Creating a behaviorally modified asset allocation
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Format: Online learning and one quiz

CE Credits: Refer to: https://www.csi.ca/student/en_ca/courses/pdf/ce_chart.pdf

Completion Requirements: Passing mark is 60% (unlimited attempts allowed)

Enrolment period: 6 months

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  • Self-study: This course is designed as an online, self-study course, with success highly dependent on the student's personal discipline.
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Members: $205.00 plus applicable taxes

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Individual Pension Plans

Individual Pension Plans


Upon completion of this course students will learn the following topics:

  • Understanding the Individual Pension Plan
  • Benefits and Limitations of Individual Pension Plans
  • Participant Responsibilities in and Registration of Individual Pension Plans
  • Regulation of Individual Pension Plan Investments and Contributions
  • Calculating Benefits, Fund Fluctuation and Transferring Funds Out
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Format: Online learning and one quiz

CE Credits: Refer to: https://www.csi.ca/student/en_ca/courses/pdf/ce_chart.pdf

Completion Requirements: Passing mark is 60% (unlimited attempts allowed)

Enrolment period: 6 months

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  • Self-study: This course is designed as an online, self-study course, with success highly dependent on the student's personal discipline.
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Members: $75.00 plus applicable taxes

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Understanding TFSAs

Understanding TFSAs


Upon completion of this course students will learn the following topics:

  • Nature and purpose of TFSAs
  • Rules related to TFSA's
  • Benefits to clients
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Format: Online learning and one quiz

CE Credits: Refer to: https://www.csi.ca/student/en_ca/courses/pdf/ce_chart.pdf

Completion Requirements: Passing mark is 60% (unlimited attempts allowed)

Enrolment period: 6 months

register now    regnow1
  • Self-study: This course is designed as an online, self-study course, with success highly dependent on the student's personal discipline.
register now    regnow1

Members: $75.00 plus applicable taxes

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