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

 

After completing this course, what will participants be able to do?

  • Meet the provincial securities commissions' registration requirements as a branch manager or branch compliance officer
  • Ensure that the branch physical appearance conforms with good business practice and relevant legislation
  • Establish guidelines for sales representatives to adhere to regulatory requirements and in-house materials of the mutual fund dealer
  • Ensure that sales representatives respect the disclosure requirements to clients
  • Review orders for proper documentation, improper sales techniques, and leveraged purchases
  • Implement branch-level internal controls and procedures

What are the approximate hours of study?

Approximate Hours of Study**
Study hours 35 - 45 hours

** In order to provide some guidance to course participants as to the length of time it will take to be sufficiently prepared to write the final examination, CSI has prepared this estimate of the number of hours an average participant could possibly expect to spend studying for a course. Please note that these are only recommended hours of study developed based on research and our course content, however, this does not mean that some students with exceptional backgrounds would not take less time than recommended or that students with no background at all in finance or economics would not take longer than the maximum.

EXAM WEIGHTINGS
The Client-Service Process and the Branch Compliance Officer's Function 6%
Setting up the Branch - Operating and Physical Aspects 11%
Managing the Registered Sales Staff 11%
The Client and the Sales Representative - Ascertaining Client Needs 11%
Disclosure 28%
The Client and Sales Representative - Providing Advice 11%
Client Relations with the Branch Compliance Officer 11%
The Sales Representative and the Branch Compliance Officer - Order Execution 11%

 

EXAM INFORMATION
Exams 1
Exam Format Proctored (remote or in person at a test centre)
Exam Duration 3 Hours
Question Format Multiple Choice
Questions Per Exam 90
Attempts Allowed Per Exam* 3
Passing Grade 60%
Assignments N/A
ENROLMENT PERIOD
Enrolment Period 1 year
COURSE COMPLETION NOTICE AND WALL CERTIFICATE

On successful completion of this course you will be able to download a Notice of Course Completion available through your student profile. This will remain on your profile as formal confirmation of course completion.

* The first attempt is included in the course enrolment fee. Further attempts incur fees.

†Please note: Access to your online materials will close 2 weeks after successful course completion or course expiry (whichever comes first). This course can be extended by 1 year provided you have not exceeded the attempts allowed  for each exam. You can view CSI extension fees here . Your enrolment period can only be extended one time.

Click below to access CE accreditation information for this course. To search for specific course information, click the images/find_icon.jpg icon or press the ctrl key & F key at the same time and enter the course name to search the document for the information you are interested in.

Continuing Education Credits

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

National/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.