Regulation of Financial Advisory Services
Description
This course will look at the regulation of businesses and individuals involved in the financial services industry including dealers and advisors. Registration requirements and exemptions from registration requirements will be addressed. Policy objectives behind the rules will form the basis for discussion of the existing rules and investor protection initiatives. The role of self-regulatory organizations including IIROC and the MFDA will be examined.
Note: Check with the institution regarding start/ end dates, prices, and delivery method. These may vary according to the program, section, and/or semester.
Note: Check with the institution regarding start/ end dates, prices, and delivery method. These may vary according to the program, section, and/or semester.
Related Programs
Overview
- Institution: York University
- Level: University
- Language: English
- Course Code: SELA6129, LAW6129P
- Delivery Method: Entièrement en ligne/à distance
Disclaimer:
Check with the institution regarding start/end dates, prices, and delivery method. These may vary according to program, section, and/or semester.
Check with the institution regarding start/end dates, prices, and delivery method. These may vary according to program, section, and/or semester.