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CSI Branch Manager's Course

The Branch Manager's Course is a course provided by the Canadian Securities Institute.

Study Notes for the Branch Manager's Course provides detailed information for the "need-to-know" content of this course in an easy to read and study format. Practice questions with answers are provided for each chapter.

Table of Contents

  1. Settlement of Transactions
  2. Supervising Account Activity
  3. Disclosure
  4. Record Keeping
  5. Dealing with the Regulators
  6. Investor Protection Funds

Section 3: General Branch Management Functions

  1. Managing the Business

Section 1: The Regulatory Environment

  1. Code of Ethics and Standards of Conduct
  2. Regulatory Requirement for Supervision
  3. Setting up the Branch
  4. The Branch Manager

Section 2: Regulatory Branch Management Functions

  1. Registration of Staff
  2. Opening Client Accounts
  3. Types of Accounts

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Study Notes for the CSI Branch Manager's Course
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