A Proactive Approach To Compliance
The CCO delivers a broad knowledge of regulations and best practices concerning compliance issues. You'll learn how to assess compliance risk and how to develop and implement proactive systems and controls for company operation.
Learn About:
- The role of compliance and the regulatory environment
- Risk management
- Ethics
- Formal compliance structure
- Industry processes
- Policies and procedures
- Monitoring and recordkeeping
- Client complaints and investigations
- Registration
- Trading
- Introducing & carrying broker relationships
- Relationships with regulators
- Investment banking and trade desk compliance
What's Included:
- The ‘Chief Compliance Officers Qualifying Examination’ textbook
- Assistance from CSI’s academic support specialists
- Access to CCO practice questions to assist you in understanding the material and preparing for the exam.
| Approximate Hours of Study** | |
|---|---|
| Hours of Study | 50 - 60 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 STRUCTURE (weightings are approximate) | |
|---|---|
| The Role of Compliance and Canada's Regulatory Environment and Basic Securities Law | 10% |
| Risk Management and Making Ethical Decisions | 13% |
| Formal Compliance Structure and Leading, Managing and Change | 10% |
| Key Issues and Processes | 7% |
| Development of Policies and Procedures | 7% |
| Monitoring and Recordkeeping Requirements | 14% |
| Client Complaints and Regulatory Investigations | 16% |
| Registration | 5% |
| Trading Rules and Issues | 15% |
| Introducing Broker (IB)/Carrying Brokers (CB) Arrangements | 3% |
| EXAM FORMAT | |
|---|---|
| Exams | 1 |
| Exam Format | Paper or Computer-Based |
| Exam Length | 3 Hours |
| Question Format | Multiple Choice |
| Questions Per Exam | 100 |
| Attempts Allowed Per Exam | 3* |
| Passing Grade | 60% (Per Exam) |
| Assignments | None |
| 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 indication of course completion. CSI will mail you a wall certificate within 4 - 6 weeks of course completion. If you would like to purchase a frame to display your certificate please click here. Please ensure that your First and Last Name on your profile match your First and Last Name on your Government Issued Photo identification - this will ensure you receive an accurate certificate. CSI will be pleased to issue an Honors Certificate to all students who obtain a final course mark of 85% or higher. |
*There is no charge for your first attempt at a paper-based exam within Canada, as long as it's at a regular exam center and you provide a minimum of 14 days notice before the date that you want to write the exam. If you would like to write a computer-based exam, an additional fee will be required.
Each subsequent paper-based exam attempt at a regular exam centre within Canada will also require an additional fee. This fee is in addition to any special, computer-based or international fees that may apply. You must provide a minimum of 14 days notice within Canada at a regular exam centre and 4 weeks notice for all other centres. Please note that the date of the exam is not part of any notice period.
†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.
Important: During a student's enrolment period, CSI may update this course. In that case, details about the update and how it may affect students will be posted online via My CSI. Students are held responsible for and are examinable on the content in the course textbook(s) provided at the time of enrollment unless stated otherwise in My CSI. Students are encouraged to check My CSI regularly throughout their enrolment period.
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.
