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Becoming a Mutual Fund Representative

Call it an intro or a refresher, this course is all about the fundamentals of being licensed to advise on mutual funds in Canada. Not only does it cover the process of getting licensed, it also covers the regulatory and compliance aspects of what it means to be a mutual fund representative!

CE Credit: 0.5
Accreditation Number: IAS17157000

CE Credits: 0.5 Accreditation Number: IAS17157000 CE Credit Type: Professional Development

  • Course Introduction
  • What is a Mutual Fund?
  • Evolution of the Mutual Fund Industry
  • Getting Mutual Fund Licensed
  • Providing Excellent Client Service
  • Understanding Your Clients and Products
  • Suitability
  • Know Your Client (KYC)
  • Understanding Risk
  • Know Your Product
  • The Role of the Mutual Fund Sales Representative
  • Final Test
Completion rules
  • All units must be completed
  • Leads to a certification with a duration: Forever