What is the Chief Compliance Officers Qualifying Exam (CCO)
The Chief Compliance Officers Qualifying Exam (CCO) is a self-study course designed to strengthen your knowledge of compliance rules and practice. Learn how to create and maintain a culture of compliance and bring issues or problems to upper management in a professional and timely manner.
What regulatory requirements will you meet?
Meet IIROC's proficiency requirements for Chief Compliance Officers*
Meet the CSA’s proficiency requirement for Chief Compliance Officers for Exempt Market, Mutual Fund and Scholarship Plan Dealers and Portfolio Managers.
*For IIROC dealer members the Partners, Directors and Officers Qualifying Examination is also required
Earn CE Credits
Fulfill 12 hrs of CE Compliance or 30hrs of CE Professional Development
Earn the Certificate in Investment Dealer Compliance The CCO course is part of a learning pathway towards earning the prestigious Certificate in Investment Dealer Compliance.
Who Should Enrol?
Enrol in the CCO if you're:
- A candidate to become a Chief Compliance Officer
- Interested in strengthening your knowledge of compliance rules and practices
- Interested in earning the Certificate in Investment Dealer Compliance.
What credentials does this course lead to?
