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Branch Compliance Officer's Course (0240) (BCO)

 

What is the Branch Compliance Officer's Course (BCO)?

This course is designed for individuals who supervise mutual funds sales representatives. It meets requirements under the MFDA rules for a branch manager. After completing the course, participants will have acquired the competencies to effectively manage and supervise all aspects of a financial institution's mutual fund dealings within an operating branch. Course participants gain the skills and knowledge to coordinate and administer compliance requirements and deal directly and efficiently with clients.

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Who Should Enrol?

Financial services professionals who wish to meet the branch manager proficiency requirements in order to assume a supervisory compliance function of a financial institution mutual fund dealer.