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Licensing → 90 Day Advisor Training

90-Day CIRO Industry Training Program (LCI90DayITP)


Description
The 90-Day Industry Training Program (ITP) is a comprehensive training program as part of CIRO's 90-Day training requirements for new registrants, or anyone wanting to get a comprehensive understanding of Canada's financial services industry.

A NOTE ABOUT CONTINUING EDUCATION CREDITS: Although this program has been accredited by CIRO for continuing education (CE) credits, CE credits are generally not permitted if a program is completed for licensing purposes.

20 IIROC: Professional Development (24-0622P) + 10 IIROC: Compliance (24-0621C)
20 MFDA: Professional Development (1000006028) + 6 MFDA: BC Non-Ethics and 2 Ethics (1000006027)
30 Financial Services Regulatory Authority of Ontario: Life or A and S
30/15 Alberta Accreditation Committee: 30 Life, 15 A and S (68036)
30 Insurance Council of British Columbia: Life or A and S
30 Insurance Councils of Saskatchewan: Life or A and S
30 Insurance Council of Manitoba: Life or A and S (44215)
25 CFP/QAFP: 18 Financial Planning, 2 Professional Responsibility, 5 Practice Management
30 CIM/PFP 10 Compliance, 20 Professional Development
20 CFA: 10 Standards, Ethics, Regulations, 10 Professional Learning
30 CPA: Verifiable credits, including 4 Ethics CPD
20 Advocis Structured Learning
20 Law Society of Ontario Substantive Hours

CE Credits: 30 MFDA CE Activity Cod...: 1000006027 IIROC: 20 IIROC PD 24-0622P + 10 IIROC CM 24-06... MFDA: 20 MFDA PD 1000006028 + 6 BC Non-Ethics,... FSRA: 30 Financial Services Regulatory Authori... AIC: 30/15 Alberta Accreditation Committee: 3... ICBC: 30 Insurance Council of British Columbia... ICS: 30 Insurance Councils of Saskatchewan: L... ICM: 30 Insurance Council of Manitoba: Life o... CFP / QAFP: 25 CFP/QAFP: 18 Financial Planning, 2 Pr... CIM / PFP: 30 CIM/PFP 10 Compliance, 20 Professiona... CFA: 20 CFA: 10 Standards, Ethics, Regulation... CPA: 30 CPA: Verifiable credits, including 4 ... Advocis: 20 Advocis Structured Learning Law Society of ON: 20 Law Society of Ontario Substantive Ho...

Content
  • Week 1: Introduction and Foundations
  • Introduction to the CIRO 90-Day Industry Training Program (3:02)
  • Identity crisis, honesty and permissible activities (3:16)
  • Introduction to Canada's Financial Industry
  • Client Communication and Financial Planning
  • Week 1: Professional Development
  • The Complete Guide for New Professionals
  • Workplace Communication Basics
  • A Guide to Workplace Integrity
  • Imposter Syndrome: What It Is and How to Overcome It
  • Week 2: Foundations
  • Intro to Economics
  • Mutual Funds: An Introduction
  • Week 2: Professional Development
  • Master the Art of Verbal Communication
  • Working Across Cultures
  • Communication Fundamentals
  • How to Work Effectively with Different Communication Styles
  • Week 3: Foundations
  • Equity Investments
  • Fixed Income Investments
  • Week 3: Professional Development
  • The Basics of Managing Stress
  • A Guide to Effective Meetings
  • Week 4: Foundations
  • Investment Portfolios: Introduction
  • Week 4: Professional Development
  • Time Management Essentials
  • Leading with Emotional Intelligence
  • How to Have Difficult Conversations
  • Week 5: Foundations
  • Financial Statements
  • Financial Ratios
  • Week 5: Professional Development
  • Resolving Conflict
  • Performance Management
  • Week 6: Foundations
  • Financial Planning
  • Vulnerable Clients
  • Week 6: Professional Development
  • Business Writing Fundamentals
  • Common Workplace Challenges and How to Handle Them
  • Week 7: Ethics
  • Ethics
  • Week 7: Professional Development
  • The Science of Effective Listening
  • Giving Effective Feedback
  • Week 8: 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
  • Week 8: 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
  • Week 9: Anti-Money Laundering
  • 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
  • Week 10: Cyber Security Awareness Training
  • Introduction Cyber Security Awareness Training (4:27)
  • Evolving Cyber Attacks (2:09)
  • Cyber security today (2:30)
  • Employer protocols for cyber security (4:39)
  • Dealing with cyber security incidents (4:00)
  • Cyber threat actors (5:54)
  • 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)
  • Portable Storage Devices (3:18)
  • Working remotely from home (2:47)
  • Video conferencing (2:51)
  • Social Media (2:42)
  • Passwords (8:02)
  • Quiz: Cyber Security
  • Week 11: Client Focused Reforms (CFR)
  • CFR Introduction (1:36)
  • CFR background (3:57)
  • Week 11: 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)
  • Conflicts from proprietary products (6:18)
  • Conflicts from third-party compensation (5:21)
  • 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
  • Week 11: CFR: Know Your Client (KYC)
  • KYC general obligations (6:30)
  • [MFDA] KYC information for multiple accounts and clients (1:44)
  • KYC information for multiple accounts and clients (2:14)
  • KYC for conducting a suitability determination (12:02)
  • Reluctance to share KYC information (2:36)
  • [CSA] Confirming and maintaining KYC information (3:31)
  • Confirming and maintaining KYC information (4:03)
  • [MFDA VERSION] Confirming and maintaining KYC information (3:39)
  • KYC best practices and concluding points (2:53)
  • Week 11: 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)
  • [MFDA] Client-directed trades, transfers and exempt securities (1:48)
  • Week 11: CFR: Suitability Determination
  • Suitability overview (3:23)
  • When to make a suitability determination (3:43)
  • Portfolio approach to suitability (4:49)
  • Suitability factors (5:51)
  • Reassessing suitability (2:28)
  • Unsolicited and unsuitable orders (3:38)
  • Account appropriateness (3:55)
  • [MFDA] Leverage (3:37)
  • Conclusion (0:28)
  • Quiz: KYC, KYP and Suitability Determination
  • Week 11: CFR: Referrals, Relationship Disclosure, Misleading Communications
  • Referral arrangements (9:35)
  • Misleading communications (5:09)
  • Relationship disclosure information (10:40)
  • Disclosure of conflict of interest (8:07)
  • Scholarship plan dealers (8:20)
  • Quiz: RA, RDI, and Misleading Communications
  • Week 11: CFR: Protection of Vulnerable and Older Clients
  • Financial exploitation, vulnerable clients and mental capacity (6:40)
  • Trusted contact person (10:42)
  • Temporary holds (13:57)
  • Quiz: Protection of Older and Vulnerable Clients
  • Week 11: 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
  • Week 12: Privacy Legislation
  • Privacy Legislation Introduction (1:24)
  • Understanding Personal Information and Privacy Legislation (2:14)
  • Understanding PIPEDA (2:03)
  • PIPEDA's 10 Fair Information Principles (2:18)
  • Principle 1: Accountability (1:24)
  • Principle 2: Identify the Purpose for Collecting Information (1:55)
  • Principle 3: Obtain Informed Consent (3:03)
  • Express and Implied Consent (1:24)
  • Exceptions to the Consent Principle (1:57)
  • Principle 4: Limit Collection (1:04)
  • Principle 5: Limit Use, Disclosure and Retention (2:48)
  • Principle 6: Be Accurate (1:00)
  • Principle 7: Use Appropriate Safeguards (4:38)
  • Principle 8: Be Open (1:48)
  • Principle 9: Give Individuals Access (4:02)
  • Principle 10: Provide Recourse (2:12)
  • Complaints to the OPC (2:12)
  • How the Privacy Commissioner Handles Complaints (3:45)
  • Audits of Personal Information Management Practices (2:28)
  • Dealing with a privacy breach (5:43)
  • Québec Privacy Legislation Overview (3:49)
  • Québec Privacy Legislation
  • Quiz: Privacy Legislation
  • Week 12: Marketing
  • Marketing Fundamentals: Your Getting Started Guide
  • Optimizing Your Images for SEO
  • Your Comprehensive Email Marketing Guide
  • Customer and Market Research
  • Week 13: 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
  • Week 14
  • Day 90!
Completion rules
  • All units must be completed
  • Leads to a certificate with a duration: Forever
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