Hours of Study: 75 Hours

Enrolment Period: 1 Year

What Continuing Education (CE) credits will you earn?

CFA Institute CFA - PD10
CIRO-ID Compliance10
PFP Compliance10
CFA Institute CFA - SER2
CIM Compliance10
CIWM Compliance10

View CE credits for all CSI courses and all associations.

While CSI makes every effort to ensure that the information is up-to-date, we are unfortunately unable to fully guarantee its accuracy. The information listed in the chart may be subject to change. More detailed information on CE Credits is available.

What is the exam weighting?

Exam Topics Weighting
Introduction to Compliance and Managing Relationships 12%
Investment Industry Landscape and Regulatory Mandates 24%
Risk Management, Compliance Structure, and Registration Requirements 15%
Policies, Procedures and Documentation 27%
Investment Banking and Trade Desk Compliance 10%
Monitoring and Regulatory Investigations 12%

What is the exam structure?

Structure Information
Exam 1
Exam Format Proctored (remote or in-person at a test centre)
Exam Duration 120 minutes
Question Format Multiple-choice
Questions Per Exam 75
Attempts Allowed Per Exam
Passing Grade 60%
Assignments None

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