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.
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. The course explores the compliance and supervision functions at an IIROC dealer member to equip those registered in the industry with the proper tools and skills to discharge their obligations properly and effectively. You’ll learn how to assess compliance risk and how to develop and implement proactive systems and controls for company operation.
Enrol in the CCO if you: