Investment Foundations Certificate Instruction
Canadian Regulators
Fall 2023
Overview
The CFA Institute Investment Foundations® Certificate covers the essentials of finance, ethics, and investment roles, providing a clear understanding of the concepts underlying the global investment industry.
The program is designed for those aspiring to, or currently working within non-investment roles across the investment and finance industries. It will benefit those in roles such as legal, compliance, regulatory, marketing, sales, project management, human resources, admin and IT through better understanding of the industry, facilitating communication with colleagues, and advancing in one’s career. The program is a self-study program, supported by a robust online learning ecosystem from CFA Institute. CFA Societies Canada is taking the opportunity to support enrolled regulatory staff taking the Certificate with complimentary virtual seminars.
These seminars will have participation of staff from various regulators across Canada. The seminars are delivered by volunteer CFA charterholders, some of whom are also regulatory employees, who will aid in applying the subject matter of the program to the securities regulatory context.
Interested in finding out more
about the CFA Program®?
Join us at an upcoming info session to learn everything you need to know about the CFA Program. We will present an informative overview of the CFA Program, including the application process, scholarship opportunities, exams, and much more. Each presentation is followed by a Q&A period to answer your questions about the program.
Program Schedule
CFA Societies Canada is offering regulatory staff weekly virtual seminars via Zoom to supplement the online Certificate materials starting in late September 2023. The seminars will run for 19 weeks (with a break over the holidays). Each seminar is 1.5 hours and is scheduled every Wednesday at 1:00 pm ET.
Course 1 – Industry Overview and Structure
Sep 25 – Introduction to the Investment Industry
- Module 1: Overview of the Investment Industry
- Module 2: Structure of the Investment Industry
- Module 3: Introduction to Industry Services
Sep 27 – Modules 4/5: Financial Planning, FinTech, Professionalism, and Regulation
Jason Pereira, CFA and Janice Leung, CFA
- Module 4: Financial Planning Services and Introduction to FinTech
- Module 5: Investment Professionalism and Regulations
Course 2 – Types and Functioning of Markets
Oct 4 – Modules 1/2: Types of Security Markets and Trading Venues, Order Processing, and Opportunities with Decentralised Finance
Rizwan Awan, CFA and Dr. Ryan Clements
- Module 1: Types of Security Markets and Trading Venues
- Module 2: Order Processing and Opportunities with Decentralised Finance
Oct 11 – Modules 3/4: Investment Vehicles
Ritu Kalra, CFA, and Raymond Chan, CFA
- Module 3: Investment Vehicles: Pooled Investments, Exchange-Traded Funds, and Security Market Indices
- Module 4: Investment Vehicles: Hedge Funds, Fund of Funds, and Managed Accounts
Course 3 – Investment Instruments
Oct 18 – Module 1: Quantitative Concepts
Oct 25 – Module 2: Introduction to Investment Instruments and Equity Securities
TBC
Nov 01 – Module 3: Debt Securities
Nov 08 – Module 4: Derivatives
Nov 15 – Module 5: Alternative Investments
TBC
Course 4 – Investment Inputs and Tools
Nov 22 – Module 1: Microeconomics
Nov 29 – Module 2: Macroeconomics
Dec 06 – Module 3: Economics of International Trade
Dec 13 – Module 4: Financial Statements
Course 5 – Serving Clients Needs
Jan 10 – Modules 1/2: Investors and Their Needs and Investment Management
TBC
- Module 1: Investors and Their Needs
- Module 2: Investment Management
Jan 17 – Module 3: Risk Management
Jan 24 – Module 4: Performance Evaluation
Course 6 – Serving the Greater Good
Jan 31 – Module 1: Environmental, Social, and Governance (ESG) Investing
Feb 07 – Module 2: Diversity, Equity, and Inclusion (DEI) in Practice
Feb 14 – Module 3: Professionalism and Ethics
TBC
- Module 3 – Part 1: Professionalism
- Module 3 – Part 2: Ethical Decision-Making Framework
Ethics Learning Lab
Designed to meet the needs of today’s learners, the CFA Institute Ethics Learning Lab supports subscribers with active and social learning in structured modules, supplementary resources, timely and relevant content from subject matter experts, and a lively community engaged in robust conversation and exchange of ideas.
CFA Institute Programs
From foundational knowledge to investment mastery, our industry acclaimed programs are developed to help professionals excel at all stages of their career. Explore three distinct educational programs to discover which one best aligns to your goals.
CFA® Program
The Chartered Financial Analyst (CFA®) credential sets the standard as the most highly respected designation in the investment management profession.
- Broad range of investment analysis and decision-making skills
- Portfolio and wealth management
- Ethical integrity
- Three exams
- 300 hours of preparation per exam
- Four years of relevant experience
CIPM® Program
The Certificate in Investment Performance Measurement (CIPM®) designation offers career distinction for all investment professionals charged with appraising and selecting portfolio managers, evaluating portfolio performance, and communicating with clients.
- Performance measurement and evaluation in ethical framework
- Manager search and selection
- Client communications and relations
- Two exams
- 125 hours of preparation per exam
- Four years of relevant experience
Investment Foundations® Certificate
The CFA Institute Investment Foundations® Certificate gives those working with investment decision makers a clear understanding of the investment industry, roles and responsibilities, and the vital importance of ethical conduct.
- Foundational knowledge of the global investment industry
- Common vocabulary
- Ethical awareness and compliance
- One exam
- 60-90 hours of exam preparation
- No experience required
Regulatory Scholarships for CFA Program & CIPM Program
This scholarship program from CFA Institute is for employees of financial regulators, central banks, securities commissions, stock exchanges, SROs and/or government entities. Specifically, those entities that oversee or regulate operations, standards of practice or business conduct of the investment management industry and which have entered into a program agreement with CFA Institute.
Applicants should seek scholarship information and confirm their status prior to registering for CFA Program.
We can contact your employer about the scholarship program participation. If interested, Contact us.
Scholarship Award Amount
CFA Program enrollment fee is waived and exam registration is reduced to only USD$350.
Learn more about CFA Program pricing
Participating employers, ensure you have your employees submit their program applications for the CFA Program and CIPM Program below.
Join a local CFA Society
CFA Societies Canada consists of 12 CFA Institute member societies with over 19,000 members combined. CFA Institute and its member societies work together to achieve a common vision – to advance ethical decision making and rigorous educational standards throughout the financial industry, along with protecting and promoting the CFA designation.
Some Member benefits include:
- Networking with industry peers
- Keeping up to date with industry trends
- Learning, mentorship, and developmental opportunities
- Access to key resources like job opportunities and newsletters