Get this course (C$400.00)

Company Resources / Ressources de l'entreprise

DMTP - Institutional NBF (LCIDMTP-Inst-NBF)


Description
Learnedly’s DMTP for Institutional Advisors delivers CIRO-aligned training across the Institutional RR Competency Profile, enhanced with AML, Client Focused Reforms, cybersecurity, privacy, ESG disclosure, ethics, and institutional market conduct expectations.
Content
  • Conduct and Compliance
  • RR Institutional Chapter 1: Regulatory Framework
  • RR Institutional Chapter 2: Prospective Client Relationships
  • RR Institutional Chapter 3: Scope of Client Relationships
  • RR Institutional Chapter 4: Required Documents and Disclosures
  • RR Institutional Chapter 5: Client Relationship Maintenance
  • RR Institutional Chapter 6: Containment of Confidential Information
  • RR Institutional Chapter 7: Conflicts of Interest and Ethics
  • Product and Market Impact
  • RR Institutional Chapter 8: Market Structure
  • RR Institutional Chapter 9: Macroeconomic Analysis
  • RR Institutional Chapter 10: Industry Analysis
  • RR Institutional Chapter 11: Company Analysis
  • RR Institutional Chapter 12: Technical and Statistical Analysis
  • RR Institutional Chapter 13: Research and Analysis for Client Products
  • RR Institutional Chapter 14: Market Research, News, and Relevant Updates
  • RR Institutional Chapter 15: Characteristics and Information on Equities
  • RR Institutional Chapter 16: Characteristics of Fixed Income Products
  • RR Institutional Chapter 17: Characteristics of Other Investments
  • RR Institutional Chapter 18: Options and Similar Derivative Contracts
  • RR Institutional Chapter 19: Characteristics of Options and Similar Derivatives
  • RR Institutional Chapter 20: Overview of Futures and Similar Derivatives
  • RR Institutional Chapter 21: Characteristics of Futures and Similar Derivatives
  • Execution and Market Integrity
  • RR Institutional Chapter 22: Market Integrity, Trade Execution, and Settlement
  • RR Institutional Chapter 23: Gatekeeping Responsibilities
  • AI Rule Assistant
  • AI Reference Tool: CIRO IDPC Rules 2026.01.08
  • AI Reference Tool: Universal Market Integrity Rules (UMIR) - 2026.01.13
  • Foundations
  • Intro to Economics
  • Mutual Funds: An Introduction
  • Equity Investments
  • Fixed Income Investments
  • Investment Portfolios: Introduction
  • Financial Statements
  • Financial Ratios
  • Cyber Security Awareness
  • Introduction Cyber Security Awareness Training (4:27)
  • Cyber security today (2:30)
  • Insider threats (2:27)
  • Cyber threat tools - Malware (8:43)
  • Malware distribution channels (3:12)
  • Phishing... with a P.H. (6:59)
  • Spear phishing and Business Email Compromises (BEC) (6:57)
  • Ransomware (8:14)
  • Social Media (2:42)
  • Quiz: Cyber Security
  • Ethics
  • Ethics
  • ESG: Investment Fund Disclosure
  • Introduction to ESG Investment Fund Disclosure (3:11)
  • Understanding ESG (7:20)
  • ESG Related Terms (3:57)
  • ESG Related Funds and Strategies (4:48)
  • Greenwashing Prologue (2:50)
  • Greenwashing (8:23)
  • Investment Fund Greenwashing (5:07)
  • ESG Fund Disclosure Guidance (0:53)
  • Fund Name Objectives Strategies (8:39)
  • Risk ratings and suitability (7:32)
  • Sales Communications (4:41)
  • Conclusion - ESG (1:51)
  • Quiz: ESG Investment Fund Disclosure
  • Anti-Bribery and Anti-Corruption
  • 1. What Counts as a Bribe under Canadian Law?
  • 2. Criminal Code Offences
  • 3. Secret Commissions
  • 4. Canada's Foreign Bribery Laws
  • 5. Regulatory Obligations and Best Practices
  • 6. Practical Anti-Bribery Controls & Red Flags for Registrants
  • Insider Trading & Tipping
  • Introduction (4:46)
  • ImClone (5:24)
  • The Vagueness of Insider Trading (7:15)
  • Understanding the Key Elements of Insider Trading (7:45)
  • Tipping (3:51)
  • Front-Running (5:08)
  • Trade Surveillance Technology (3:28)
  • Know-Your-Client (KYC) (3:00)
  • Suspicious Trading Activity (2:47)
  • Creating Information Barriers (4:52)
  • Conclusion (3:00)
  • Quiz: Insider Trading & Tipping
  • Fraud Awareness
  • Introduction (5:43)
  • Fundamentals of fraud (2:49)
  • The Anatomy of a Scam
  • The Scam Index
  • Phishing
  • Business Email Compromises (BEC)
  • Protecting yourself and clients from scams and fraud
  • Fraud resources and tools
  • Conclusion (3:00)
  • Anti-Money Laundering (AML)
  • AML Introduction (4:05)
  • Understanding Money Laundering (6:23)
  • How to Launder Money Part I (4:44)
  • How to Launder Money Part II (4:02)
  • How to Launder Money Part III (3:58)
  • Understanding Terrorist Financing (4:58)
  • Understanding Reporting Requirements (3:28)
  • What is a Suspicious Transaction Report? (6:00)
  • Red Flags of Money Laundering and Terrorist Financing (4:51)
  • Red Flags of Money Laundering for Securities Dealers (1:32)
  • Indicators Specific to Securities Dealers
  • Why Knowing Your Client Matters (5:32)
  • How to Verify the Identity of an Individual (11:39)
  • How to Verify an Entity (5:38)
  • Business Relationship Requirements (5:08)
  • Beneficial Ownership Requirements (3:36)
  • Third Party Determination Requirements (2:23)
  • Politically Exposed Persons (6:48)
  • Ongoing and Enhanced Monitoring (2:27)
  • AML Addendum
  • Conclusion (0:55)
  • Quiz: Anti-Money Laundering
  • Client Focused Reforms (CFR)
  • CFR: Conflicts of Interest
  • COI Introduction (3:19)
  • Understanding conflicts of interest (6:58)
  • Addressing material conflicts of interest (5:28)
  • Reporting material conflicts to your dealer (4:49)
  • Disclosing conflicts of interest (7:18)
  • Got conflict? (4:27)
  • Internal compensation, incentive practices and supervision (6:04)
  • Referral arrangements (4:45)
  • Outside business activities (6:56)
  • Serving on a board of directors (3:34)
  • Client-specific conflicts (4:30)
  • Conclusion: Conflicts of Interest (2:45)
  • Quiz: Conflicts of Interest
  • CFR: Know Your Client (KYC)
  • CFR: Know Your Product (KYP)
  • KYP introduction and expectations (2:31)
  • Dealer KYP obligations (2:38)
  • KYP advisor obligations (5:23)
  • Ongoing monitoring (1:21)
  • KYP and multiple registrants (2:24)
  • Client-directed trades, transfers and exemptions (1:37)
  • CFR: Suitability Determination
  • CFR: Referrals, Relationship Disclosure, Misleading Communications
  • CFR: Protection of Vulnerable and Older Clients
  • CFR: Outside Activities and Positions of Influence
  • Firm oversight of outside activities (1:24)
  • Conflicts and risks from outside activities (5:35)
  • Monitoring and supervising outside activities (7:34)
  • Individuals in a position of influence (11:50)
  • Quiz: Outside Activities and Positions of Influence
  • Compliance: Privacy Legislation
  • Privacy Legislation Introduction (1:24)
  • Understanding Personal Information and Privacy Legislation (2:14)
  • Understanding PIPEDA (2:03)
  • How the Privacy Commissioner Handles Complaints (3:45)
  • Dealing with a privacy breach (5:43)
  • Québec Privacy Legislation Overview (3:49)
  • Québec Privacy Legislation
  • Quiz: Privacy Legislation
  • Professional Development (PD)
  • PD: New Professional / Workplace Essentials & Professionalism
  • The Complete Guide for New Professionals
  • A Guide to Workplace Integrity
  • Common Workplace Challenges and How to Handle Them
  • PD: Core Communication Skills
  • Communication Fundamentals
  • Workplace Communication Basics
  • Business Writing Fundamentals
  • The Science of Effective Listening
  • Master the Art of Verbal Communication
  • How to Work Effectively with Different Communication Styles
  • Working Across Cultures
  • PD: Interpersonal Confidence & Difficult Interactions
  • Imposter Syndrome: What It Is and How to Overcome It
  • How to Have Difficult Conversations
  • Giving Effective Feedback
  • Resolving Conflict
  • PD: Productivity, Focus & Stress Management
  • Time Management Essentials
  • The Basics of Managing Stress
  • A Guide to Effective Meetings
  • PD: Emotional Intelligence & Leading Others
  • Leading with Emotional Intelligence
  • Performance Management
  • PD: Marketing
  • Marketing Fundamentals: Your Getting Started Guide
  • Optimizing Your Images for SEO
  • Your Comprehensive Email Marketing Guide
  • Customer and Market Research
  • PD: Business Development
  • Sales Fundamentals
  • The Ultimate Sales Prospecting Guide
  • An Introduction to Sales Enablement
  • Building Relationships in Sales
  • Why People Buy: Boost Sales by Understanding Customers Needs
  • How To Handle Objections: Getting Customers to Say Yes
  • Psychology Tips That Unlock Sales
  • Closing the Deal: Negotiation Strategies to Increase Sales
Completion rules
  • All units must be completed
  • Leads to a certificate with a duration: Forever
Back