NPPF14A Foray into the Regulation of the Financial Sector (3 PDU version)

Course overview

PDUs 3 SC-FP
Course type Online course
Duration 3 h
Price $231.00 plus taxes

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Description

This four-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 course, you will gain a deeper understanding of the nature of investment services, the supervision and control of professionals, and standards of conduct.

Offered in both English and French, this training will allow you to strengthen your expertise and better support your clients in achieving their financial goals.

Note: A more comprehensive version of this course, entitling you to 5 PDUs in SC-FP, is available. You cannot accumulate PDUs for both versions during the same professional development cycle.

Recognition of the activity

  • CSF: 3 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 framework governing financial services professionals and who controls their right to practice.
  • Name the activities requiring registration and the stakeholders under the Securities Act and the Act Respecting the Distribution of Financial Products and Services.
  • Explain the duty of loyalty and the duty of care under the Securities Act and the Act Respecting the Distribution of Financial Products and Services.

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:

    Professionalized regulation of investment services

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

  • Part 3:

    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 4:

    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.

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