EXPLORE PROGRAMS
Securities dealers collect substantial personal and financial information from clients — including KYC, suitability, source of wealth, and trading history. PIPEDA, supplemented by CIRO and provincial securities commission expectations, governs how that information must be handled. This course translates PIPEDA's Fair Information Principles into the day-to-day reality of a dealer: account opening, suitability interactions, marketing, third-party sharing with custodians and service providers, and incident response. Real OPC findings involving Canadian dealers are used to illustrate common pitfalls.
You will learn how PIPEDA applies to dealer operations, how to obtain valid consent at onboarding, how to handle access and correction requests, how to safeguard personal information, and how to assess and report a privacy breach.
Course Cost :
$100.00
