Institutional Traders Compliance Course

About Us

Institutional securities dealers face different issues and risks than registrants who deal in the retail securities market. Gowlings professionals Ellen Bessner and Paul Dempsey work with institutional securities dealers and create customized compliance courses that allow firms and their employees to earn their required IDA continuing education credits while addressing issues and risks that are of particular concern.

Brochures

• Institutional Trader Compliance Course for CE credit
• Institutional Traders Course Outline

Instructors

• Ellen J. Bessner
• Paul Dempsey