CIRE3 Ethics in Client Relationships

Course overview

PDUs 5 SC
Course type Online course
Duration 5 h
Price $95.00 plus taxes

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Ethics in Client Relationships

Description

This course addresses the ethical and professional issues at the heart of customer relations in securities. You will learn how to recognize and manage conflicts of interest, apply high standards of professional conduct, comply with legal and regulatory obligations, and protect confidential customer information.

The training also covers handling customer complaints, reporting and record-keeping obligations, prohibited settlement practices, and remedies available to investors, including the Ombudsman for Banking Services and Investments (OBSI), arbitration, and legal recourse.

Offered online, this training is an essential step in understanding regulatory expectations regarding ethics, building public confidence, and preparing for the OCRC's Canadian Investment Regulatory Examination (CIRE).

Activity recognition

FP Canada: 5 Financial Planning CE

Objectives

By the end of this training, you will be able to:

  • Understand the importance of managing conflicts of interest and the associated processes
  • Apply ethical standards of conduct and understand their role in protecting clients
  • Identify the legal, regulatory, and ethical responsibilities of brokers and licensed individuals
  • Recognize and avoid inappropriate or prohibited personal transactions with clients
  • Comply with requirements relating to positions of influence and outside business activities
  • Implement practices that ensure the confidentiality and protection of client information
  • Understand the complaint handling process, available recourses (OBSI, CIRO arbitration, litigation), and documentation requirements
  • Apply professional judgment and critical thinking to resolve ethical dilemmas

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 ethics and professional conduct in the securities industry.

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Course program

This third course in a four-course series explores:

  • Conflict of interest management
  • Ethical standards and principles of professional conduct
  • Client confidentiality, cybersecurity, and information controls
  • Legal and regulatory responsibilities toward clients
  • Client complaint handling, recourse options, and prohibited practices

Summary

This course provides a comprehensive understanding of ethical obligations in client relationships within the securities industry. It is an essential step for professionals preparing for the Canadian Investment Regulatory Exam (CIRE) and seeking to practise with integrity, professionalism, and compliance.

Register to the course


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