Master investment ethics and trading compliance through real-world case studies, ensuring professional conduct and protecting client interests in complex financial scenarios.
Welcome to "Investment and Trading: Conduct and Practices Case Studies," a continuing education course designed to fulfill partial requirements for FP Canada. This course delves into critical ethical and legal considerations within the investment and trading landscape, presenting real-world case studies to enhance your understanding of professional conduct.
You will gain invaluable insights into various aspects of the financial industry, analyzing the actions of dealers and exploring important legal principles including the capacity and status of persons, contracts, and regulatory frameworks. We will examine public insurance and retirement regimes, government regulations such as the Criminal Code, Anti-Spam Legislation, and the Proceeds of Crime and Terrorist Financing Act, ensuring you are well-versed in compliance.
A significant portion of this course is dedicated to understanding and applying FP Canada's Code of Ethics through detailed case study analysis. You will learn to identify and address critical issues such as:
By the end of this course, you will be equipped with the expertise to navigate complex ethical dilemmas and regulatory challenges, fostering a strong foundation in responsible investment and trading practices.
2x Award Winning Commercial Insurance Broker
Founder and CEO of PNC Learning (a wholly owned LearnDay subsidiary), one of Canada’s leading independent providers of pre-licensing and accredited continuing education courses for insurance professionals. https://courses.pnclearning.com With programs currently in use by thousands of students and at some of the largest insurance brokerages across Canada, Jacques has deep experience in successfully launching and marketing new e-Learning programs for the fitness industry, financial services, and other regulated industries. With a technical background, his expertise in e-Learning includes content creation, sales & marketing, and everything required to bring a new e-Learning program to market from the ground up.
