DMTP
Dealer Member Training Program
for CIRO Registrants
CIRO’s guidance on Dealer Member Training makes one thing clear: member firms are responsible for ensuring registrants are properly trained—not only at onboarding, but as roles evolve and regulatory expectations expand.
Learnedly’s Dealer Member Training Program (DMTP) was purpose-built to help firms meet that obligation with confidence.
Two Streams
DMTP: Retail
Aligned to the Retail Registered Representative Competency Profile
Need a corporate solution?
Great! We offer progress and completion reporting, and the ability to create a customized version of our DMTP.
Send us a note and let’s work together to start your Dealer Member Training Program today:
hello@learnedly.com
DMTP Full Curriculum Outline
DMTP Retail Curriculum
Competency 1: Initiate Client Relationships
Chapter 1: Regulatory Framework
Chapter 2: Prospective Client Relationships
Chapter 3: Scope of Client Relationships
Chapter 4: Required Documents and Disclosures
Competency 2: Know Your Client
Chapter 5: Collection of Required Information
Chapter 6: Analysis and Evaluation of KYC Information
Chapter 7: Using KYC Information to Set Financial Goals
Competency 3: Product and Market Impact
Chapter 8: Macroeconomic Analysis
Chapter 9: Industry Analysis
Chapter 10: Company Analysis
Chapter 11: Technical and Statistical Analysis
Chapter 12: Characteristics and Information on Equities
Chapter 13: Characteristics and Information on Fixed Income Products
Chapter 14: Characteristics and Information on Managed Products
Chapter 15: Characteristics and Information on Mutual Funds
Chapter 16: Characteristics and Information on Other Investments
Chapter 17: Overview of Options and Similar Derivative Contracts
Chapter 18: Characteristics of Options and Similar Derivatives
Chapter 19: Overview of Futures and Similar Derivative Contracts
Chapter 20: Characteristics of Futures and Similar Contracts
Competency 4: Suitability
Chapter 21: Know Your Product (KYP)
Chapter 22: Development of Investment Recommendations
Chapter 23: Investment Action Recommendations
Chapter 24: Client Account Monitoring and Performance
Competency 5: Execution and Market Integrity
Chapter 25: Market Integrity, Trade Execution and Settlement
Chapter 26: Gatekeeping Responsibilities
Competency 6: Maintain Client Relationships
Chapter 27: Communication with Clients
Chapter 28: Relevant Changes and Updates
Chapter 29: Documentation Requirements and Best Practices
Chapter 30: Client Complaint Handling and Reporting
Competency 7: Conflicts and Ethics
Chapter 31: Conflicts of Interest and Ethics
Chapter 32: Outside Activities
Chapter 33: Personal Financial Dealings
Chapter 34: Containment of Confidential Information
Compliance Courses
Anti-Bribery and Anti-Corruption
Anti-Money Laundering (AML)
Client Focused Reforms (CFR)
CFR: Conflicts of Interest
- CFR: Know Your Client (KYC)
- CFR: Know Your Product (KYP)
- CFR: Suitability Determination
- CFR: Referrals, Relationship Disclosure, Misleading Communications
- CFR: Protection of Vulnerable and Older Clients
- CFR: Outside Activities and Positions of Influence
Cyber Security Awareness
ESG: Investment Fund Disclosure
Ethics
Fraud Awareness
Insider Trading & Tipping
Privacy Legislation
Professional Development Courses
New Professional / Workplace Essentials & Professionalism
Core Communication Skills
Interpersonal Confidence & Difficult Interactions
Productivity, Focus & Stress Management
Emotional Intelligence & Leading Others
Marketing
Business Development
DMTP: Institutional
Aligned to the Institutional Registered Representative Competency Profile
Each program delivers comprehensive coverage of the applicable competency profile, while also incorporating regulatory training that firms are already expected to provide—but rarely find in one place.
What Makes Learnedly’s DMTP Different?
Learnedly’s DMTP goes deeper into the compliance topics. In addition to the full RR competency curriculum, DMTP includes comprehensive training on:
Anti-Money Laundering (AML)
Anti-Bribery and Corruption
Client Focused Reforms (KYC, KYP, Suitability, Conflicts of Interest, Vulnerable Clients)
Cybersecurity Awareness
Fraud Awareness
ESG Investment Fund Disclosure and Greenwashing
Ethics, gatekeeping, and market integrity
Insider Trading, Tipping, and Market Abuse
Privacy Legislation (PIPEDA and Québec)
This ensures registrants receive training that reflects how CIRO actually supervises firms—not how course catalogs are traditionally organized.
Solutions for Dealer Firms:
Progress and completion reporting for compliance books and records
Integrate dealer content for a seamless learning experience
Corporate branding
Corporate pricing
Features:
Format: Online, on-demand
Content style: Video, text and interactive
Language: English (French forthcoming)
Enrollment period: 6 months
Price: $400
DMTP Institutional Curriculum
Competency 1: Conduct and Compliance
Chapter 1: Regulatory Framework
Chapter 2: Prospective Client Relationships
Chapter 3: Scope of Client Relationships
Chapter 4: Required Documents and Disclosures
Chapter 5: Client Relationship Maintenance
Chapter 6: Containment of Confidential Information
Chapter 7: Conflicts of Interest and Ethics
Competency 2: Product and Market Impact
Chapter 8: Market Structure
Chapter 9: Macroeconomic Analysis
Chapter 10: Industry Analysis
Chapter 11: Company Analysis
Chapter 12: Technical and Statistical Analysis
Chapter 13: Research and Analysis for Client Products
Chapter 14: Market Research, News, and Relevant Updates
Chapter 15: Characteristics and Information on Equities
Chapter 16: Characteristics of Fixed Income Products
Chapter 17: Characteristics of Other Investments
Chapter 18: Options and Similar Derivative Contracts
Chapter 19: Characteristics of Options and Similar Derivatives
Chapter 20: Overview of Futures and Similar Derivatives
Chapter 21: Characteristics of Futures and Similar Derivatives
Competency 3: Execution and Market Integrity
Chapter 22: Market Integrity, Trade Execution, and Settlement
Chapter 23: Gatekeeping Responsibilities
Compliance Courses
Anti-Bribery and Anti-Corruption
Anti-Money Laundering (AML)
Client Focused Reforms (CFR)
CFR: Conflicts of Interest
- CFR: Know Your Client (KYC)
- CFR: Know Your Product (KYP)
- CFR: Suitability Determination
- CFR: Referrals, Relationship Disclosure, Misleading Communications
- CFR: Protection of Vulnerable and Older Clients
- CFR: Outside Activities and Positions of Influence
Cyber Security Awareness
ESG: Investment Fund Disclosure
Ethics
Fraud Awareness
Insider Trading & Tipping
Privacy Legislation
Professional Development Courses
New Professional / Workplace Essentials & Professionalism
Core Communication Skills
Interpersonal Confidence & Difficult Interactions
Productivity, Focus & Stress Management
Emotional Intelligence & Leading Others