Institutional DMTP & Dealer Member Training modules
Twenty-seven published modules across five streams, delivered through LifterLMS on this site. Jump to a stream, then enrol a cohort or request a firm-wide licence.
Institutional DMTP
The full Dealer Member Training Program for institutional registrants. Conduct, market integrity, suitability, order handling, information barriers and record-keeping.
DMTP-101 — Institutional Conduct & Professional Ethics
Standards of conduct for institutional registrants: gatekeeper duty, honest...
DMTP-102 — Canadian Regulatory Framework for Dealers
How CIRO, the CSA and provincial commissions interact, what...
DMTP-115 — Institutional Client Relationships & Suitability
Permitted client determinations, suitability relief, institutional KYC and the...
DMTP-128 — Order Handling & Best Execution
Best execution policy design, order routing decisions, marketplace obligations,...
DMTP-134 — Market Integrity & Manipulative Trading
UMIR fundamentals, layering and spoofing patterns, wash trading, and...
DMTP-142 — Conflicts of Interest & Outside Activities
Identifying, addressing and disclosing material conflicts in an institutional...
DMTP-150 — Research, Information Barriers & Wall-Crossing
Managing material non-public information, control room procedures, restricted lists...
DMTP-160 — Record-Keeping & Books and Records Obligations
What must be retained, in what form, and for...
Post Approval Dealer Training
Structured onboarding for newly approved representatives and supervisors, sequenced across the first six months of registration.
PAT-301 — Post Approval Orientation: Your First 30 Days
Escalation paths, supervisory expectations, firm policies and the conduct...
PAT-310 — Post Approval Ethics & Client Conduct
Applied ethics for newly approved persons, using scenario-based decisions...
PAT-322 — Complaint Handling & Escalation
Recognising a reportable complaint, timelines, internal escalation, and documenting...
PAT-338 — Trade Errors, Cancellations & Adjustments
Correct handling of erroneous trades, approval thresholds, client notification...
PAT-350 — Communications with the Public & Marketing Review
Standards for institutional communications, pitch materials, performance presentation and...
PAT-365 — Registration Maintenance & Continuing Obligations
Notice requirements, changes in circumstances, dual employment, and the...
Supervisor & Principal
Advanced judgement modules for supervisors, branch managers, designated principals and Chief Compliance Officers.
SUP-401 — Supervisory Judgement & Escalation
When to escalate, when to document, and how to...
SUP-412 — Daily & Monthly Trade Review
Designing a defensible trade review program: exception thresholds, sampling...
SUP-425 — Branch & Business Location Supervision
Obligations of the designated supervisor across locations, delegation limits,...
SUP-438 — Gatekeeper Obligations & Red Flag Response
The dealer as gatekeeper: recognising red flags in institutional...
SUP-450 — Building & Defending a Compliance Program
For CCOs and designated principals: program architecture, risk assessment,...
AML & Financial Crime
FINTRAC-aligned training with institutional typologies, sanctions screening and beneficial ownership in complex structures.
AML-501 — AML/ATF Fundamentals for Dealer Members
FINTRAC obligations for securities dealers: client identification, beneficial ownership,...
AML-512 — Institutional Typologies & Suspicious Transactions
Layered ownership, nominee accounts, third-party settlement, trade-based laundering and...
AML-524 — Sanctions Screening & Restricted Parties
Canadian sanctions regimes, screening architecture, false positive management and...
AML-535 — Beneficial Ownership in Complex Structures
Unwrapping funds, trusts, holding companies and offshore vehicles to...
Cyber & Data
Information security, electronic communications capture, privacy obligations and operational resilience for registrants.
CYB-601 — Information Security for Registrants
Phishing, credential handling, device security and the incident reporting...
CYB-614 — Electronic Communications & Off-Channel Risk
Approved channels, personal device policy, chat platform capture, and...
CYB-628 — Privacy, PIPEDA & Client Data Handling
Collection limits, consent, cross-border transfer, breach assessment and notification...
CYB-640 — Operational Resilience & Business Continuity
Continuity planning, third-party and outsourcing risk, testing obligations and...
Enrol a cohort, or licence the whole catalogue.
Firms above 250 approved persons typically move to an unlimited annual licence with a dedicated program manager and quarterly curriculum reviews.
