Foran Branch Managers’ Exam Preparation Seminar
Foran Class Code: FBMC
This Foran Branch Managers’ course will help anyone preparing to write the Canadian Securities Branch Managers’ Supervision exam.
This seminar is designed for individuals who are nominated to be a branch manager of a Canadian securities firm. The prospective branch manager should inquire whether or not he or she is required to write the Options Supervision course.
Foran offers an Options Supervision seminar which may be taken in conjunction with the above seminar.
BMC Content Covered:
This two-day Foran Branch Managers’ supervision seminar covers important areas of the Branch Managers’ Course including: Canadian securities regulatory mandates and environment; gatekeeper responsibilities; risk analysis and management; supervision structures; opening and maintaining client accounts; dealing with client complaints; conflicts of interest and disclosures; institutional supervision and dealing with regulators.
April 15-16, 2019
Continuing Education Credits: 16
Note on Foran Continuing Education (CE) Credits: Foran Financial Institute issues CE Credits for all of its licensing seminars. However, it is at the discretion of your compliance department whether Foran CE Credits fill CE Credit requirements.
Foran Financial Institute is an independent supplier of educational services. Its exam preparation courses are not sponsored by the Investment Funds Institute of Canada, the Institute of Canadian Bankers, or any other industry organization.