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Exempt Market Products Course

(EMP Brochure)

The PCMA and IFSE Institute are proud to have a partnership providing the Exempt Market Products Exam (EMP) under NI 31-103. The EMP has been specifically designed for exempt market participants and PCMA Members will be eligible for a substantial tuition discount. EMP course topics include the capital markets, the exempt market, know your client rules, know your product rules, ethical conduct, and common forms of exempt securities. The objective of the course is to provide individuals seeking registration as dealing representatives for an EMD with the knowledge necessary to offer advice to clients on complex exempt financial instruments. The EMP exam satisfies the proficiency requirements of NI 31-103.

Exempt Market Products Course and Exam: PCMA members $325 (regular price is $500)

PCMA Members save $175!


On November 15, 2012, the PCMA announced a partnership with the IFSE Institute, wholly owned by the Investment Funds Institute of Canada (IFIC), to revise and update the content for the Exempt Market Products course. For more more information please click HERE.


IFSE Officers, Partners, and Directors Course

The Officers, Partners, and Directors Course (OPD) was developed to ensure that all officers, partners, and directors of a dealer firm are knowledgeable in industry regulations, policies, and practices in order to carry out both their supervisory responsibilities and the compliance requirements of securities commissions in their jurisdictions. The course covers several topics including: role of the compliance officer, manuals, securities law and compliance, dealer selling practices, and new developments and updates. The OPD exam satisfies the proficiency requirements for a Chief Compliance Officer of an EMD (in addition to the EMP) under NI 31-103.  

Officers’, Partners’, and Directors’ Course and Exam: PCMA members $230 (regular price is $330)

PCMA Members save $100!

 
Ethics for Exempt Market Dealer Representatives

This unique program was developed for Representatives working for Exempt Market Dealers. The objectives of the course are to emphasize the importance of ethical conduct and to provide concrete examples of proper and improper conduct.

Included in your registration:

•    Two 2-hour recorded webinars
•    PowerPoint presentation
•    Online booklet (available in pdf)
 
At the end of the course, participants will be able to take an online exam with 20 multiple-choice questions. Students are required to obtain a mark of 60% to successfully complete the course.
 
The course covers such important topics as:

•    What is ethics?
•    Trading without being registered
•    Sale of exempt securities to non-accredited investors
•    Unsuitable recommendations, know-your-client and know-your product
•    Prohibited representations
•    Recommending the use of leverage
•    Marketing materials
•    Off-book trades
•    Managing conflicts of interest
•    Selling securities of issuers related to the EMD
•    Outside business activities
 
The course includes several case studies illustrating appropriate and inappropriate conduct by EMD representatives. The case studies are based on actual enforcement cases involving EMD representatives.
 
PCMA Members pay only $130 (regular price is $150)

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How do I register for these IFSE courses?

Course details are available on the IFSE website:


Exempt Market Products Course

Officers, Partners and Directors Course

Ethics for Exempt Market Dealer Representatives

To access the PCMA member discount code please use your login to the Members Only section of the PCMA website and click on the tab  Member Tuition Discounts. (PCMA members set up their login password when they join through the website. If you have trouble accessing your login password please contact us for assistance.) 

To register for these courses:

1) please proceed to the IFSE website

2) login (create an account if you don't already have one - see the "Become a Student" tab)

3) use your PCMA discount code to register and receive a discount.

Access your exclusive PCMA discount code HERE. 

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