Corporate training services for regulated dealers
Institutional DMTP, Post Approval Dealer Training, Dealer Member Training, supervisor streams and firm-specific curriculum — delivered through one LMS with one compliance record.
Choose the stream that matches your registration profile.
Every service below is delivered on the same platform, produces the same audit-grade record, and is priced per seat with volume tiers for firms above 50 approved persons.
Institutional DMTP Program
The complete Dealer Member Training Program for institutional registrants across eight assessed modules covering conduct, market integrity, suitability, order handling and supervision.
8 modules · ~18 hrs · Assessed
Post Approval Dealer Training
Structured onboarding for newly approved representatives and supervisors, sequenced on a 30 / 90 / 180-day cadence with automatic escalation to the supervising principal.
6 modules · ~9 hrs · Auto-cadenced
Supervisor & Principal Stream
Advanced modules for supervisors, branch managers and designated principals: escalation judgement, trade review, gatekeeper obligations and defensible documentation.
5 modules · ~12 hrs · Case-based
AML/ATF & Financial Crime
FINTRAC-aligned annual training with institutional typologies: layered ownership, third-party settlement, sanctions screening and suspicious transaction reporting.
4 modules · ~7 hrs · Annual refresh
Firm-Specific Curriculum Build
We ingest your compliance manual, supervisory procedures and past findings, then author branded modules that teach your controls, hosted alongside the standard catalogue.
Custom · 4-6 wk build · Your branding
Audit Readiness & Gap Review
An independent review of your existing training program against current obligations, with a written gap analysis, remediation plan and a mock evidence pack.
3-4 weeks · Written report · Fixed fee
From first call to filed evidence in four steps.
Most firms are live with their first cohort within three weeks of signing.
Registration mapping
We review your approved-person categories, supervisory structure and existing policies, then map each role to the required modules. You receive a written curriculum matrix.
Platform setup
SSO configured against your identity provider, learner roster imported, supervisor roles assigned, and your branding applied. Or we deliver SCORM/xAPI packages into your own LMS.
Cohort delivery
Learners work through modules on any device. Assessments are scored automatically; overdue items escalate to the supervising principal on your chosen cadence.
Evidence & renewal
Completion records generate continuously and export on demand. When a rule changes, affected modules re-issue and impacted learners are automatically re-enrolled.
Frequently asked
Our Institutional DMTP stream covers professional conduct and ethics, the Canadian regulatory framework, institutional client relationships and suitability, order handling and best execution, market integrity and manipulative trading, conflicts of interest, research and information barriers, and record-keeping. Each module publishes its learning objectives and the obligation each objective maps to.
Licensing courses establish baseline proficiency before approval. Post Approval Dealer Training addresses what an approved person must know once they are operating inside your firm: your escalation paths, your supervisory expectations, and the conduct standards that apply to live client and trading activity. It is sequenced over the first six months rather than delivered as a single event.
Yes. Every module is delivered as a SCORM 1.2 or xAPI package that will run in any conformant LMS. If you use your own LMS you keep the raw statement data; we can also mirror records into our reporting layer so the one-click evidence export still works.
We review every published rule amendment, guidance note and enforcement bulletin within five business days. Where a change materially affects module content, we re-author and re-issue within thirty days, automatically re-enrolling affected learners. Superseded versions are archived rather than deleted.
Per learner and per module: enrolment date, completion date, cumulative time-on-task, number of assessment attempts, score on each attempt, the exact content version served, and a tamper-evident hash. Records are retained for seven years and export as CSV, PDF attestation, or via API into your GRC platform.
The Institutional DMTP and Post Approval Dealer Training streams are fully available in Canadian French. Supervisor and AML streams are progressively bilingual through 2026. Learners choose their language at enrolment and records are language-tagged.
Per seat and per program, with volume tiers beginning at 50 approved persons and firm-wide licences above 250. Firm-specific curriculum builds are quoted as a fixed project fee plus an annual maintenance retainer. There are no platform fees or implementation charges for standard catalogue programs.
Get a curriculum matrix for your firm.
Send us your registration categories and we will return a role-by-module mapping within two business days — free, and yours to keep regardless of whether you proceed.
