RSE2 Working with Clients – Providing Advice

Course overview

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

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RSE2 Working with Clients – Providing Advice

Description

This course covers trade execution, settlement, and order management in Canadian marketplaces. You will explore Universal Market Integrity Rules (UMIR), including best execution, abusive trading prevention, and gatekeeping obligations. You will understand order types, margin account mechanics, foreign exchange conversions, and client reporting and confirmation requirements, while learning to identify suspicious trades and comply with applicable regulatory frameworks.

Offered online, this course is a key step toward success on the CIRO Retail Securities Exam.

The content is currently available for online reading, allowing you to start preparing right away. An enhanced interactive format is expected to be available by the fall.

Activity recognition

FP Canada: 5 Financial Planning CE

Objectives

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

  • Apply UMIR rules on best execution, abusive trading, and manipulative practices.
  • Identify and escalate suspicious transactions under gatekeeping obligations.
  • Recognize potential insider trading and regulatory reporting requirements.
  • Apply different order types (limit, market, stop) to meet client needs.
  • Execute and settle trades across marketplaces, correct trading errors, and perform currency conversions.
  • Understand long and short margin account requirements and special authorizations for leveraged investing.
  • Confirm orders with clients, including fees, commissions, and account statements.
  • Ensure compliance with trade reporting obligations to regulators and firms.

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 Investigation, by enabling participants to define, gather, and analyze the information required to understand trading activities. It equips them to identify red flags, ask the right questions, properly document situations, and apply escalation mechanisms to ensure regulatory compliance and client protection.

Who should attend

This course is intended for professionals seeking to deepen their mastery of order execution, market compliance, and reporting requirements to deliver accurate, transparent, and compliant trading advice.

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Course program

In this training, you will explore:

  • UMIR and gatekeeping obligations: best execution, prevention of abusive/manipulative practices, responsibilities to detect and escalate issues.
  • Order types and order management: market, limit, stop orders; modifications, cancellations, and prioritization.
  • Execution, settlement, and errors: routing across marketplaces, identifying and correcting trading errors, timelines and settlement processes.
  • Margin accounts: requirements for long and short positions, margin calculations, margin calls, and authorizations for leverage.
  • Foreign exchange and cross-border activity: principles, costs, risks, and compliance best practices.
  • Client communication and reporting: trade confirmations, fees and commissions, statements and required disclosures.
  • Suspicious transaction detection: red flags, documentation, internal escalation, and reporting to the appropriate authorities.
  • Interaction with broader compliance: alignment with Know-Your-Client (KYC) obligations and Know-Your-Product (KYP) requirements to deliver suitable, compliant advice.

Summary

This course offers a structured approach to market compliance, order management, and reporting obligations, helping you deliver trading advice that is rigorous, transparent, and compliant with CIRO standards.

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