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The Chief Compliance Officers Qualifying Exam (CCO) course is 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 skills will you develop?

The CCO delivers a broad knowledge of regulations and best practices concerning compliance issues. The course discusses the rules and regulations of the investment industry and describes the CCO’s role in that context. The course explores the compliance and supervision functions at an IIROC dealer member to equip those registered in the industry with the proper tools and skills to discharge their obligations properly and effectively. You’ll learn how to assess compliance risk and how to develop and implement proactive systems and controls for company operation.

Who should enrol?

Enrol in the CCO if you:

  • Are a candidate to become a Chief Compliance Officer and subject to meeting’s proficiency requirements for Chief Compliance Officers
  • Are subject to the CSA’s proficiency requirement for Chief Compliance Officers for Exempt Market, Mutual Fund and Scholarship Plan Dealers and Portfolio Managers
  • Are interested in strengthening your knowledge of compliance rules and practices
  • Are interested in earning the Certificate in Investment Dealer Compliance

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