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DMTP - Retail - NBF (LCIDMTP-Retail-NBF)


Description
Learnedly’s DMTP for Retail equips Registered Representatives with CIRO-aligned training across the full Retail RR Competency Profile—plus AML, Client Focused Reforms, cybersecurity, privacy, ESG disclosure, ethics, and market integrity.

CE Credits: MFDA CE Activity Cod...: IIROC: MFDA: FSRA: AIC: ICBC: ICS: ICM: CSF: CFP / QAFP: CIM / PFP: CFA: CPA: Advocis: Law Society of ON: IQPF:

Content
  • Initiate Client Relationships
  • RR Retail Chapter 1: Regulatory Framework
  • RR Retail Chapter 2: Prospective Client Relationships
  • RR Retail Chapter 3: Scope of Client Relationships
  • RR Retail Chapter 4: Required Documents and Disclosures
  • Quiz - Initiate Client Relationships
  • Know Your Client
  • RR Retail Chapter 5: Collection of Required Information
  • RR Retail Chapter 6: Analysis and Evaluation of KYC Information
  • RR Retail Chapter 7: Using KYC Information to Set Financial Goals
  • Quiz - Know Your Client
  • Product and Market Impact
  • RR Retail Chapter 8: Macroeconomic Analysis
  • RR Retail Chapter 9: Industry Analysis
  • RR Retail Chapter 10: Company Analysis
  • RR Retail Chapter 11: Technical and Statistical Analysis
  • RR Retail Chapter 12: Characteristics and Information on Equities
  • RR Retail Chapter 13: Characteristics and Information on Fixed Income Products
  • RR Retail Chapter 14: Characteristics and Information on Managed Products
  • RR Retail Chapter 15: Characteristics and Information on Mutual Funds
  • RR Retail Chapter 16: Characteristics and Information on Other Investments
  • RR Retail Chapter 17: Overview of Options and Similar Derivative Contracts
  • RR Retail Chapter 18: Characteristics of Options and Similar Derivatives
  • RR Retail Chapter 19: Overview of Futures and Similar Derivative Contracts
  • RR Retail Chapter 20: Characteristics of Futures and Similar Contracts
  • Quiz - Product and Market Impact
  • Suitability
  • RR Retail Chapter 21: Know Your Product (KYP)
  • RR Retail Chapter 22: Development of Investment Recommendations
  • RR Retail Chapter 23: Investment Action Recommendations
  • RR Retail Chapter 24: Client Account Monitoring and Performance
  • Quiz - Suitability
  • Execution and Market Integrity
  • RR Retail Chapter 25: Market Integrity, Trade Execution and Settlement
  • RR Retail Chapter 26: Gatekeeping Responsibilities
  • Quiz - Execution and Market Integrity
  • Maintain Client Relationships
  • RR Retail Chapter 27: Communication with Clients
  • RR Retail Chapter 28: Relevant Changes and Updates
  • RR Retail Chapter 29: Documentation Requirements and Best Practices
  • RR Retail Chapter 30: Client Complaint Handling and Reporting
  • Quiz - Maintain Client Relationships
  • Conflicts and Ethics
  • RR Retail Chapter 31: Conflicts of Interest and Ethics
  • RR Retail Chapter 32: Outside Activities
  • RR Retail Chapter 33: Personal Financial Dealings
  • RR Retail Chapter 34: Containment of Confidential Information
  • Quiz - Conflicts and Ethics
  • AI Rule Assistant
  • AI Reference Tool: CIRO IDPC Rules 2026.01.08
  • AI Reference Tool: Universal Market Integrity Rules (UMIR) - 2026.01.13
  • Foundations
  • Client Communication and Financial Planning
  • Intro to Economics
  • Mutual Funds: An Introduction
  • Financial Planning
  • Vulnerable Clients
  • Equity Investments
  • Fixed Income Investments
  • Investment Portfolios: Introduction
  • Financial Statements
  • Financial Ratios
  • Cyber Security Awareness
  • 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
  • Ethics
  • Ethics
  • 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
  • Anti-Bribery and Anti-Corruption
  • 1. What Counts as a Bribe under Canadian Law?
  • 2. Criminal Code Offences
  • 3. Secret Commissions
  • 4. Canada's Foreign Bribery Laws
  • 5. Regulatory Obligations and Best Practices
  • 6. Practical Anti-Bribery Controls & Red Flags for Registrants
  • 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
  • Fraud Awareness
  • Fraud Awareness (4:51)
  • Introduction (5:43)
  • Fundamentals of fraud (2:49)
  • Spying on the Scammers
  • The Anatomy of a Scam
  • Demographics of a Victim
  • Psychology of a scam (5:21)
  • Scam factories (10:41)
  • The Scam Index
  • Synthetic Identity Fraud
  • Impersonation Fraud
  • Spotting deepfakes (2:03)
  • Deepfakes
  • Chrystia Freeland deepfake (4:18)
  • Phishing
  • Business Email Compromises (BEC)
  • Romance Scams
  • Crypto Scams / "Pig Butchering"
  • Protecting yourself and clients from scams and fraud
  • What to do if you're a victim
  • How to support a victim of fraud
  • Fraud resources and tools
  • Conclusion (3:00)
  • Anti-Money Laundering (AML)
  • 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
  • Client Focused Reforms (CFR)
  • 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
  • CFR: Know Your Client (KYC)
  • KYC general obligations (6:30)
  • KYC information for multiple accounts and clients (2:14)
  • KYC for conducting a suitability determination (12:02)
  • Reluctance to share KYC information (2:36)
  • Confirming and maintaining KYC information (4:03)
  • KYC best practices and concluding points (2:53)
  • 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)
  • 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)
  • Leverage (3:37)
  • Conclusion (0:28)
  • Quiz: KYC, KYP and Suitability Determination
  • 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
  • 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
  • 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
  • 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
  • Professional Development (PD)
  • PD: New Professional / Workplace Essentials & Professionalism
  • The Complete Guide for New Professionals
  • A Guide to Workplace Integrity
  • Common Workplace Challenges and How to Handle Them
  • PD: Core Communication Skills
  • Communication Fundamentals
  • Workplace Communication Basics
  • Business Writing Fundamentals
  • The Science of Effective Listening
  • Master the Art of Verbal Communication
  • How to Work Effectively with Different Communication Styles
  • Working Across Cultures
  • PD: Interpersonal Confidence & Difficult Interactions
  • Imposter Syndrome: What It Is and How to Overcome It
  • How to Have Difficult Conversations
  • Giving Effective Feedback
  • Resolving Conflict
  • PD: Productivity, Focus & Stress Management
  • Time Management Essentials
  • The Basics of Managing Stress
  • A Guide to Effective Meetings
  • PD: Emotional Intelligence & Leading Others
  • Leading with Emotional Intelligence
  • Performance Management
Completion rules
  • All units must be completed
  • Leads to a certificate with a duration: Forever
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