home  
 
 
 
 
 
 

Continuing Education & Member Resources



Continuing Education
Securities industry professionals work in a fast-paced environment where it's important to have the knowledge to stay on top of new products, new rules and regulations, legal and compliance issues, emerging industry trends and other developments. As a complement to our regulatory functions, IIROC offers securities professionals some of the industry's most valuable training and education. To access IIROC upcoming and archived educational events click here.

Continuing Education Requirements
 

 Program Highlights

 


​​To help registered and approved individuals who deal with the public remain current, we introduced a mandatory Continuing Education (CE) program for Member firm. The CE program operates on three-year cycles and all registrants are on the same schedule. The first cycle began on January 1, 2000 and ended on December 31, 2002.

 

The setup is quite simple. Individuals registered to do retail business and give advice must complete a Compliance course and a Professional Development course during each cycle. Those who are not registered to do retail business (who deal with institutions only) and those not registered to give advice (such as investment representatives) must complete a Compliance course.​

CE Requirements by Category

 

 

 Grand - fathering

 


There are a few exceptions. If you have been continuously licensed for more than 15 years as of January 1, 2000, then you will complete only the compliance portion of the program during each cycle. Those of you who have been continuously licensed for more than 10, but less than 15 years, as of January 1, 2000, will complete the full program of two courses for the first CE three-year cycle of January 1, 2000 to December 31, 2002.


After completing this cycle, you will be required to complete only the compliance portion of the program thereafter. For those of you approved in more than one trading category, you are responsible for the CE requirements of the more demanding category.

 

 Selecting Accredited Courses

 


There is considerable flexibility built into the program. IIROC will provide your firm with a set of Course Guidelines to determine course eligibility. Compliance courses can be taken from the Canadian Securities Institute or your firm may choose to offer its own compliance course.

 

Professional Development courses may be taken from a variety of approved sources including your firm, the Canadian Securities Institute, community colleges and universities, and professional education providers such as the Canadian Bankers Association, the Canadian Institute of Chartered Accountants, the Investment Funds Institute of Canada, and the CFA Institute. 

Some courses that you are already taking may well fulfil your CE requirements. As well, a second Professional Development course or a multi-level course done in one cycle can be carried forward to fulfil the next cycle's Professional Development requirements. In addition, certain courses have been pre-approved through IIROC’s accreditation program.

 

Courses and seminars that have not been accredited may also be used to satisfy CE requirements, provided the member firm has reviewed the course/seminar to ensure it complies with the Guidelines set out in IIROC Rule 2900.

 

It is important to be sure that the course you are interested in satisfies the guidelines issued by IIROC. Once you provide your firm with the necessary course information, your firm can determine course eligibility.

Visit http://www.cecap.ca/ to apply for accreditation and for more information about the IIROC CE Course Accreditation Process.  Any inquiries can be sent to [email protected].

 

 Voluntary CE Courses

 


A list of courses approved by IIROC and accredited by the CSI for IIROC’s Voluntary CE Participation program can be found here

Certain accredited courses may be used to fulfill Voluntary Participation in CE, by non-registrants, thereby extending the validity period for the Canadian Securities Course and the Conduct and Practices Handbook exam.

 

 

 Tracking / Reporting

 


While you don't have to worry about advising IIROC when you have completed a course, you do need to inform your firm. Firms will submit each employee's CE status to IIROC, which will track and report all registrants' status annually to Member firms. IIROC will maintain a record of the course completion reported by your firm as part of your registration records.

 

Registrants (and their firms) who have not completed their CE requirements will receive at least two notifications during the final year of each cycle. This means you will have the opportunity to correct any discrepancies in the records and it ensures that you can take the necessary steps to complete the CE program in time. 

If you have not completed the required courses at the end of three years, penalties may be imposed—from monthly fines to suspension at the end of a six-month period.

The courses are designed with participants' time in mind. The Compliance course will require a minimum of 12 hours, and the Product Knowledge/Professional Development course will require a minimum of 30 hours of study. The timeframe in which to complete these courses is three years.​

Member Resources

CE and other

login access 

Learn about access to Gatekeeper, CE Online, RMCS and Online Post-Licensing Requirements (PLR).

 

Learn how to add, change or remove login users here.

 

Log into IIROC Continuing Education here.

IIROC strives to promote a greater awareness and understanding of the regulatory issues, rules, challenges and opportunities confronting the investment dealer and marketplace. Our goal is to use every available educational means to assist the dealer and marketplace community along a path of continuously improved self-regulatory performance.
 
We do this through a variety of outreach efforts, including webcasts, live events, such as "Tips for Traders" and "Clues for Compliance"; “sound practice” discussions; written materials and ongoing, pro-active consultation. In these regards, particular attention is paid to:
  • supporting the implementation of new dealer and marketplace rules;
  • emerging topics that are relevant and important; and
  • reviews/discussions of the major ongoing compliance issues being encountered at the regulatory level.
       tool bar


​IIROC publishes brochures that are available for order for investors and clients and makes our official logo available in English and French for use by Dealer Members.

 

To access our brochures, click here.

 

To access IIROC’s official logo and for instructions on usage, click here.