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Ethics, Conduct and Practices

Course Code FINA-709
Lecture hours per week 4
Lab hours per week
Course Availability: Open

Well governed Capital Markets are critical to an efficient economy and participants must behave as diligent, ethical gatekeepers to ensure the integrity and transparency of all operations. This course will provide you with a keen understanding of standards of conduct and a deep knowledge of securities rules and legislation. Ethics, Conduct and Practices covers the rules, policies, and by-laws of the Ontario Securities Commission and the Investment Industry Regulatory Organization of Canada.