Budgeting, investments, insurance, retirement . . . and so much more!
 | Learn more about the profession |
The Institute is the only organization authorized to grant the financial planning diploma that leads to the F.Pl. designation. There are a few different paths you can take to get there.
| Find out how |
 | A student |
 |
 | Find my path |
 | Competency Guide for F.Pl. |
We offer several different training courses to meet your needs and help you advance your career.
| Learn more about our training courses |
The Institute has tools, videos, testimonials, and articles to support you in all areas of financial planning.
| Explore our resources |
I’m looking for:
 | Videos |
 | Articles |
 |
Budgeting, investments, insurance, retirement . . . and so much more!
| Learn more about the profession |
The Institute is the only organization authorized to grant the financial planning diploma that leads to the F.Pl. designation. There are a few different paths you can take to get there.
| Find out how |
| A student |
|
| Find my path |
| Competency Guide for F.Pl. |
We offer several different training courses to meet your needs and help you advance your career.
| Learn more about our training courses |
The Institute has tools, videos, testimonials, and articles to support you in all areas of financial planning.
| Explore our resources |
I’m looking for:
| Videos |
| Articles |
|
This course covers the full scope of client relationships in the securities industry for Investment Dealers and Approved Persons. You will learn how to differentiate retail, institutional, and accredited clients, gather and maintain Know Your Client (KYC) information, and meet suitability and documentation requirements.
The course also addresses due diligence and Know Your Product (KYP) obligations, the roles and responsibilities of Investment Dealers and Registered Representatives, relationship disclosure, fiduciary duty, and how fees, taxes, and investment strategies impact client outcomes.
Offered online, this course is a core component for successfully passing the Canadian Investment Regulatory Exam (CIRE) administered by CIRO.
Activity recognition
FP Canada: 5 Financial Planning CE
 | Objectives |
By the end of this course, you will be able to:
 | Key competencies |
This course supports the development of the transversal competency Diligence, by enabling participants to manage orders, accounts, and trades accurately, follow procedures and regulatory requirements, and verify the correctness and compliance of operations to ensure reliable, high-quality work.
Additionally, it contributes to the development of the transversal competency Ethics, as it teaches how to apply conduct rules and regulatory obligations to act with integrity, protect clients, and prevent situations involving conflicts of interest or manipulative practices.
 | Who should attend |
This course is intended for professionals preparing for the Canadian Investment Regulatory Exam (CIRE) administered by CIRO who wish to strengthen their understanding of client relationship requirements in the securities industry.
CIRE1 Securities Regulation in Canada
This course provides a practical and structured overview of securities regulation in Canada, helping you prepare effectively for the Canadian Investment Regulatory Exam (CIRE) administered by CIRO.
CIRE3 Ethics in Client Relationships
This course helps you master ethical principles and professional obligations governing client relationships in the securities industry and prepare effectively for the Canadian Investment Regulatory Exam (CIRE) administered by CIRO.
CIRE4 Securities and Products
This course helps you understand the fundamentals of economic and market analysis, as well as the features, risks, and returns of key investment products, to prepare effectively for the Canadian Investment Regulatory Exam (CIRE) administered by CIRO.
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