Study Notes:
CSI Branch Manager's Course™


A new version of the Course was released by the CSI on September 22, 2010. If you ordered your Course from the CSI before that date, the Study Notes can be ordered from this site. If you ordered after this date, please contact us at 416-922-9604 or 1-800-238-0377 x301 for a release date on the revised Study Notes. Thank you.

Study Notes last updated: May 2010
(* Study Notes are updated with new budget and regulatory changes as they occur.)

The Branch Manager's Course™ is a course provided by the Canadian Securities Institute for those who will be supervising investment representatives, investment advisors and mutual fund sales people.

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

Section I The Regulatory Environment
 Introduction
Chapter 1: Code of Ethics and Standards of Conduct
Review Questions
Chapter 2: Regulatory Requirement for Supervision
Review Questions
Chapter 3: Setting up the Branch
Review Questions
Chapter 4: The Branch Manager
Review Questions
Section II Regulatory Branch Management Functions
Chapter 5: Registration of Staff
Review Questions
Chapter 6 Opening Client Accounts
Review Questions
Chapter 7: Types of Accounts
Review Questions
Chapter 8: Settlement of Transactions
Review Questions
Chapter 9: Supervising Account Activity
Review Questions
Chapter 10: Disclosure
Review Questions
Chapter 11: Record Keeping
Review Questions
Chapter 12: Dealing with the Regulators
Review Questions
Chapter 13: Investor Protection Funds
Review Questions
Section III General Branch Management Functions
Chapter 14: Managing the Business
Review Questions
Answers to Review Questions

CSI Branch Manager's Course™ Price** Buy Now

Study Notes for the CSI Branch Manager's Course™ $99.95  

** Shipping and Tax are extra.

Login ID
Password

Deadlines for continuing education will soon be approaching. Click on the CONTINUING EDUCATION tab above for details.

Tutoring (in person or on the phone) is available for most courses. Personal coaching vastly increases your probability of passing. Give us a call to book a time that suits you.

Custom-delivered Webinars are now available for life insurance studies, mutual funds exam prep, and other courses. Get your corporate group together and arrange for a webinar according to your schedule and budget. Heather at 416-922-9604 x241 will be happy to help.

Are you an LLQP student with any provider? Our webinars are an in-class seminar equivalent that prepare you to write the exam. Call us for scheduled times and to book your seat: 416-922-9604 x 301.