FP-Canada approved for 1 CE credit

The FP Canada CE Credit logo and QAFP marks are trademarks of FP Canada. CFP®, CERTIFIED FINANCIAL PLANNER® and are certification trademarks owned outside the U.S. by Financial Planning Standards Board Ltd. (FPSB). FP Canada is the marks licensing authority for the CFP marks in Canada, through agreement with FPSB. 

Course Description

Category Credits: 1 Financial Planning Credit for FP Canada + 1 Business Conduct - Ethics Credit for MFDA

Following topics are covered in this course:

1. Suppliers of capital

2. Users of Capital

3. Investment Dealers

4. Markets

     4.1 Auction markets

     4.2 Exchanges

          4.2.1 TSX, Montreal etc

     4.3 Over the Counter or OTC or Unlisted

          4.3.1 Bond market

5. Clearing and Settlement

      5.1 CDS Clearing and depository Services

 6. Self Regulatory Organizations

      6.1 Investment Industry Regulatory Organization of Canada  (IIROC)

     6.2 Mutual Fund Dealers (MFDA)

7. Canadian Securities institute (CSI)

8. Canadian Deposit Insurance CDIC

9. Canadian Investor Protection Fund (CIPF)

10. Provincial Regulators

     10.1 •E.g. Ontario Securities Commission


Students must pass the final exam before a certificate will be issued.  

Sign up for the CE Subscription and get unlimited access to our FP Canada reviewed and approved CE courses.

Lead LLQP Instructor

Professor Adam (Aizad) Ahmad, MBA, MSc, LLQP

Earning his MBA in the UK, Adam holds many professional designations in finance to include: CSC, BCO, IFIC, LLQP, PFP, CPH, Real Estate and more.  Starting his career working for large financial institutions like Sun Life, Edward Jones, Scotiabank, and others, Adam followed his passion for education and moved on to teach life insurance and other financial certifications at various colleges in Ontario.

Now at PNC Learning, Adam helps us with our instructional design and LLQP pre-licensing and CE training.

Course curriculum

  • 1

    Video

    • FP Canada Disclaimer

    • Key Organizations in the Canadian Securities Industry Video
  • 2

    Quiz

    • Key Organizations in the Canadian Securities Industry Quiz

  • $120.00 / year

    $120.00 / yearFP Canada & MFDA CE Course Bundle

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