Effective January 1, 2026, the proficiency rules applicable to Investment Dealer Approved Persons with CIRO have changed. This course is no longer acceptable for the purposes of CIRO approval with an Investment Dealer.
For more information, visit the CIRO Proficiency website.
About
Effective January 1, 2026, the proficiency rules applicable to Investment Dealer Approved Persons with CIRO have changed. This course is no longer acceptable for the purposes of CIRO approval with an Investment Dealer.
For details, including transition guidance for current CSI learners, visit the CIRO Proficiency website.
The Chief Compliance Officers Qualifying Exam (CCO) course is designed to strengthen your knowledge of compliance rules and practice. Learn how to create and maintain a culture of compliance and bring issues or problems to upper management in a professional and timely manner.
What skills will you develop?
The CCO delivers a broad knowledge of regulations and best practices concerning compliance issues. The course discusses the rules and regulations of the investment industry and describes the CCO’s role in that context.
You’ll learn how to assess compliance risk and how to develop and implement proactive systems and controls for company operations.
Who should enrol?
Enrol in the CCO if you:
- Are a candidate to become a Chief Compliance Officer
- Are subject to the CSA’s proficiency requirement for Chief Compliance Officers for Exempt Market, Mutual Fund and Scholarship Plan Dealers and Portfolio Managers
- Are interested in strengthening your knowledge of compliance rules and practices
- Are interested in earning the Certificate in Investment Dealer Compliance