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Course Name Regulation of Financial Advisory Services
Course Code SELA 6129
Course Credits 3.0
Pre/Anti-requisites Open to students in Securities Law or Banking and Financial Services Law LLM programs. Students from other programs must have successfully completed LAW 6118P - Foundations of Securities Law. Anti-requisite: LAW 6129 - Regulation of Financial Advisory Services
Course Description

This course will look at the regulation of businesses and individuals involved in the financial services industry including dealers and advisors. Registration requirements and exemptions from registration requirements will be addressed. Policy objectives behind the rules will form the basis for discussion of the existing rules and investor protection initiatives. The role of self-regulatory organizations including IIROC and the MFDA will be examined.

Upcoming Offerings

Fall 2021

Specialization Securities Law
Status Elective
CPD Hours Eligible LSO CPD: 12h Substantive Professional LLM courses may be eligible for CPD/MCLE credits in other Canadian jurisdictions. To inquire about credit eligibility, please email cpd@osgoode.yorku.ca
NCA Status N/A

All courses and schedules are subject to change.