Universal Market Integrity Rules (UMIR) Rulebook

Universal Market Integrity Rules (UMIR) Rulebook

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$36.95
Prix réduit
$36.95
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The course Universal Market Integrity Rules (UMIR) rulebook covers the requirements that apply to IIROC participant dealer members, access persons, and marketplaces for securities related to trading activities on all marketplaces regulated by IIROC.

In order to receive CE credits, you will need to receive a mark of 5 out of 8 or higher on the final quiz. This course qualifies for the following continuing education (CE) credits:

Governing Body Credit Hours Category
CSF 2.0 Compliance / Conformité
FP Canada 2.5 Financial Planning
IAFE - The Institute 2.5 1 credit hour is ethics related
IIROC (Cycle 9) 2.5 Compliance 
IQPF 1.0 SC / NP
MFDA 2.5 Business Conduct - Other