Understand the complete details provided in a final prospectus, including the requirements for material facts, cover page, summary, issuer information, securities data, and more.
Explore the significance of KYC information in opening accounts, touching on financial interest, changes in clients' circumstances, and compliance with AML and ATF regulations.
Explore the critical facets of ethical decision-making in the securities industry, its integral principles, and the step-by-step process for acting ethically when rules fall short.
Explore the principles-based regulatory model in the Canadian securities industry, learn its objectives, benefits over rules-based regulation, and see real-life examples.
Understand the crucial gatekeeper role performed by Investment Advisors in the securities industry, including requirements and practices to prevent illegal activities such as money laundering, terrorist financing, financial fraud, and insider trading.
