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Culture of Compliance: Working in Financial Services


This one-hour mini course will help students learn how to apply the rules, regulations, and guidelines for doing the right thing in a variety of situations.

Upon completion of the course students will be able to:

  • Relate to the financial services environment, why clients use financial institutions, and their expectations
  • Appreciate the purpose of regulatory constraints within financial services, and articulate the importance of implementing them in day-to-day dealings
  • Undertake to do the right thing in a variety of work situations based on their improved understanding of the regulations, as well as understanding the spirit and letter of the law in terms of compliance
  • Apply the guidelines of "doing what's right"
  • Distinguish how to balance the objectives of the client with those of the financial institution
  • Realize that both compliance and ethics have a role in financial services
  • Undertake remedial measures if necessary

Understanding how to consistently implement the industry's rules and regulations is more than just a job requirement. Having a road map for daily dealings with clients provides a consistency that will benefit a financial professional's clientele, institution and practice. Culture of Compliance: Working in Financial Services will be of particular interest to students who are new to the industry and in client-facing roles.

Quiz Format Online
Question Format Multiple Choice
Questions Per Quiz 15
Passing Grade 60%*
Attempts Allowed Unlimited*
Enrolment Period 6 months

* IMPORTANT: There is no maximum to the number of quiz attempts permitted, but only the first passing grade (60% or over) will appear on official web transcript.

Continuing Education (CE) Credits

Click the links below or the buttons at the top of the page on the right side to access CE accreditation information. To search for specific course information, press Ctrl + F and then enter the course name to search the document for the information you are interested in.

National/Provincial (Excluding Quebec)
Download CE Chart (PDF, 163 kb)

Quebec (IQPF/CSF)
Download IQPF/CSF Chart (PDF, 182 kb)

Please note: 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 charts above may be subject to change.

For details on the organizations and other information on CE Credits listed in the above charts, please click here.