03 - Unit 3 - Compliance for Exempt Market Dealers
006 The Compliance Regime.mp4
007 Compliance Duties of Exempt Market Dealers.mp4
008 Compliance with Other Legislation and Regulations.mp4
04 - Unit 4 - Dealing with Clients
009 Standard of Conduct, Establishing Client Relationship, Conflict of Interest.mp4
010 New Accounts, Client Assets, Registered Savings Plans.mp4