Investment Dealer Compliance Course (IDCC)

Hours of Study: 75 Hours

Enrolment Period: 1 Year

What Continuing Education (CE) credits will you earn?

AccreditationCredits
CFA Institute CFA - SER2
CIM CIM Compliance10
CFA Institute CFA - PD10

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 8%
Investment Industry Landscape and Regulatory Mandates 24%
Risk Management 6%
Compliance Structure and Registration Requirements 9%
Policies, Procedures and Documentation 29%
Investment Banking and Trade Desk Compliance 8%
Monitoring 7%
Regulatory Investigations 5%
Managing Relationships 4%

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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