NPPF14A Foray into the Regulation of the Financial Sector

Course overview

PDUs 5 SC-FP
Course type Online course
Duration 5 h
Price $405.00 plus taxes

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Description

This seven-part training course guides you through the world of financial services for individual savers. You will begin by exploring the role of financial intermediaries, the products offered, and the ethical obligations that govern these services. Throughout the training, you will learn more about the nature of investment services, the supervision and control of professionals, standards of conduct, and the mechanisms for monitoring and resolving disputes for your clients.

Offered in both English and French, this course will allow you to strengthen your expertise and better support your clients in achieving their financial goals. To register for the course in French, click here.

Recognition of the activity

  • CSF: 5 PDUs in compliance with standards

Objectives

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

  • Identify the main financial services: personalized advice, portfolio management (discretionary or assisted), trading, and product offerings.
  • Explain the regulatory framework for financial services professionals and who controls their right to practice.
  • Identify the mechanisms for supervising and controlling financial intermediaries.
  • Identify the assistance and dispute resolution mechanisms available to consumers.

Key competencies

This course helps develop the cross-functional skill of client focus, as it focuses on placing the client at the center of the process through personalized support and solutions tailored to their needs.

It also contributes to the development of the cross-functional skill of ethics, by encouraging participants to adopt exemplary behavior that complies with current standards and is based on ethical principles and values.

Who should attend

This course is intended for professionals who wish to understand the legislative framework governing financial services.

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Course program

  • Part 1:

    Global view of investment services

    Presentation of financial intermediaries, securities and life insurance products, as well as key ethical and cross-cutting issues.

  • Part 2:

    The professional nature of investment services

    Understanding the importance of trust, service specialization, and the risk of serious harm to customers.

  • Part 3:

    Professionalized regulation of investment services

    Exploration of the objectives of protecting investors, regulatory authorities, self-regulatory organizations, and the role of the Institute.

  • Part 4:

    Control over right to practise

    Overview of the registration of intermediaries, brokers, advisors, and their representatives, as well as life and health insurance and financial planning companies, under the Act Respecting the Distribution of Financial Products and Services.

  • Part 5:

    Standards of conduct

    Origins and objectives of standards of conduct, duty of loyalty, and duty of care in the Securities Act and the Act Respecting the Distribution of Financial Products and Services.

  • Part 6:

    Oversight and control mechanisms

    Presentation of the mechanisms for inspection, monitoring, and disciplinary action against financial intermediaries.

  • Part 7:

    Assistance and dispute settlement mechanisms

    Analysis of assistance, dispute resolution, and compensation mechanisms to protect clients.

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