Gain Knowledge and credibility to enter into or advance a compliance career
Recent changes and new standards have led to a greater emphasis on compliance protocols. The Investment Dealer Compliance Course is a two-part course designed to provide individuals with the background knowledge required to pursue a career in compliance.
Part I provides the foundational knowledge required for the role of a compliance officer.
You will Learn:
- The role of compliance and the regulatory environment
- Industry structure and processes
- Risk management techniques
- Formal compliance structure
- Policies and procedures
- Complaints and recordkeeping requirements
- Supervision and monitoring techniques
- How to handle regulatory investigations
- Soft skills
Part II provides an opportunity for the students to apply their knowledge in a series of compliance scenarios. After completing part II, you will be able to:
- Understand compliance violations in both retail and institutional account settings
- Identify possible compliance violations including: lack of suitability, insider trading and manipulative trading
- Identify and analyze the additional information required to determine whether a compliance violation has occurred
- Determine the appropriate course of action
|Approximate Hours of Study**|
|Hours of Study||75 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.
(weightings are approximate)
|Introduction to Compliance||8%|
|Investment Industry Landscape and Regulatory Mandates||24%|
|Compliance Structure and Registration Requirements||9%|
|Policies, Procedures and Documentation||29%|
|Investment Banking and Trade Desk Compliance||8%|
|Exam Format||Paper- Based|
|Exam Length||120 minutes|
|Question Format||Multiple Choice|
|Questions Per Exam||75|
|Attempts Allowed Per Exam||3*|
|Enrolment Period||1 year †|
Continuing Education (CE) Credits
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National/Provincial (Excluding Quebec)
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