ETF Compliance
The continuing education course “ETF Compliance” is designed to give investment professionals working under CIRO and FP Canada as well as insurance licensees a deep understanding of the regulatory requirements surrounding exchange-traded funds (ETFs) in Canada. Whether you work in the investment dealer or mutual fund dealer division or focus on financial planning, this course ensures that you meet your know-your-product (KYP), know-your-client (KYC), and suitability determination obligations according to CIRO rules.
You will learn how to assess ETF structures—including open-end, closed-end, index-based, synthetic, leveraged, and actively managed ETFs—and evaluate the compliance implications of each. The course also covers National Instrument 41-101, UMIR, the ETF creation and redemption process, and a whole lot more.
To receive credits for this course, you need to obtain a mark of 5 out of 8 or higher on the quiz. This course qualifies for the following CE credits:
| Governing Body | Credit Hours | Category |
|---|---|---|
| CSF | pending | |
| FP Canada | pending | |
| IAFE - The Institute | pending | |
| IDD- CIRO | pending | |
| Institut de Pl. Fin. | pending | |
| MFD-CIRO | pending |
More information about continuing education requirements is available here.