CIRE1 Securities Regulation in Canada

Course overview

PDUs 1 SFPA + 4 SC
Course type Online course
Duration 5 h
Price $95.00 plus taxes

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Réglementation des valeurs mobilières au Canada

Description

This course covers the key aspects of securities regulation in Canada. You will explore the role of regulatory organizations (CIRO, CSA), the functioning of markets and clearing agencies, the legal framework applicable to investments, and the Universal Market Integrity Rules (UMIR). The training also addresses order and trade management, different types of investment accounts, and regulatory requirements related to margin accounts and derivatives.

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:

  • Understand the role and powers of key regulatory organizations (CIRO, CSA) and the registration requirements for Investment Dealers and Approved Persons.
  • Explain the functioning of financial markets, clearing agencies, and the Canadian Investor Protection Fund.
  • Master the legal framework applicable to the investment sector, including banking legislation, anti-money laundering, and privacy protection.
  • Apply the Universal Market Integrity Rules (UMIR), gatekeeping obligations, and regulatory requirements to prevent manipulative practices and insider trading.
  • Understand the process of order entry, modification, cancellation, and settlement, as well as trade confirmations and fee transparency.
  • Identify different types of investment accounts, their characteristics, margin requirements, and specific agreements for derivatives.

Key competencies

By taking this course, you will develop essential expertise in the following area of financial planning:

  1. Investment

Additionally, 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.

Finally, 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 seeking to strengthen their understanding of regulatory obligations in the securities industry and to prepare effectively for the Canadian Investment Regulatory Exam (CIRE) administered by CIRO.

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Course program

In this course, you will explore:

  • CIRO and CSA: role, powers, and registration requirements
  • Markets and regulation: functioning, clearing agencies, transparency, and investor protection
  • Legal framework in the investment sector: applicable laws, anti-money laundering, and privacy protection
  • Universal Market Integrity Rules: UMIR, best practices, and gatekeeping obligations
  • Trading and settlement: order entry, modification, cancellation, confirmations, and fee transparency
  • Investment accounts: types, margin requirements, and agreements for derivatives

Summary 

This course provides a comprehensive understanding of the Canadian securities regulatory environment and is an essential step for any professional aiming to pass the CIRE and practice with rigour and compliance.

Register to the course


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