CE Courses

Transparency and the Future of the Securities Industry


Sweeping transparency regulations will likely unsettle many investors. This course helps advisors understand the changes and articulate the value of their advice to investors.

“Disclosure requirements will empower investors and challenge advisors.” – Morningstar
“...some investors are going to get sticker shock…” – The Globe and Mail
“It’s as if you’re reading something written in a foreign language in which you’re clearly not fluent.” – Wealth Professional on CRM2

For the majority of advisors IIROC’s CRM2 transparency initiative will mean candid conversations with clients as they grapple with the total fees they have paid. Rather than wait until July 2016 and react to client concerns, why not learn now how to best position the value of the advice you provide?

Our 12-credit compliance category course is the most comprehensive IIROC-approved course on this topic in Canada. It includes on-the-street videos with investors about the fees they pay and their perception of the value of advice. It also has expert commentary by a leading securities regulation lawyer who explains the impact of transparency regulations on the advisor’s daily practice. The core content is supplemented by optional resources that includes regulatory rules, the Fund Facts document and sample performance reports.

Format: Available as online course
IIROC: 12 CECAP Compliance hours

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