Investment Dealer Compliance Course (IDCC)

About

The financial services industry has undergone major regulatory changes to ensure transparency and clarity for investors. In addition, there is increased market volatility, periodic scandals and an aging demographic with a protective eye on its retirement assets. In this environment, there is greater scrutiny from clients, regulators and employers, making the role of individuals with compliance expertise increasingly valuable.

What skills will you develop?

The Investment Dealer Compliance Course is the only course of its kind in Canada. It focuses on various scenarios and addresses the complex issues currently faced by compliance officers. It gives individuals a solid foundation in structures, processes, risk management, investigations, and procedures common in the compliance and regulatory realm.

Who should enrol?

Enrol in the IDCC if you:

  • Work in compliance and want to progress your career
  • Are seeking a role as a compliance officer
  • Are working to complete the Certificate in Investment Dealer Compliance*

*While partly based on licensing courses, the IDCC is not a licensing course.

Learning Pathway

Route 1

Route 2

If you’ve completed one of the licensing courses (BMC, IDSC, or CCO) or you are planning to enrol in one of them in the near future, Route 2 is the appropriate path for you.

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