|Suggested study time||60 to 90 hours|
|Enrolment period||1 year|
|Practice exam||Yes, 100 questions|
Click here!Have questions?
WHO SHOULD ENROL
- Those seeking to become a Chief Compliance Officer (CCO) for a mutual fund dealer, exempt market dealer, scholarship plan dealer, investment fund manager, or portfolio manager
- Anyone interested in learning about the compliance requirements, duties, and activities of registered firms in Canada
Click here!Read case study
|Format||PEARSON VUE Computer-based test centre proctored exam
PEARSON VUE Computer-based online proctored exam
|Time permitted||180 minutes|
|Question format||100 Questions, Multiple choice|
Note: Your first exam attempt (exceptions may apply) is included in the price of the course enrolment. Additional fees apply for subsequent exam attempts and other exam delivery formats.
Click here! CE Credit Matrix
|Unit 1: The Role of Compliance||5%|
|Unit 2: The Regulators||13%|
|Unit 3: Corporate Legislation and Governance||8%|
|Unit 4: Financial Condition||3%|
|Unit 5: The Compliance Regime||7%|
|Unit 6: Key Principles for Compliance Supervision||9%|
|Unit 7: Compliance Supervision||16%|
|Unit 8: Surveillance and Reviews||12%|
|Unit 9: Conflicts of Interest||10%|
|Unit 10: Complaints||7%|
|Unit 11: Dealing with the Regulators||6%|
|Unit 12: Legal Actions||4%|
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Exam results for Computer-based Test Centre Proctored and Computer-based Online Proctored exams are available online within 2 business days following the exam if you have no outstanding fees.
Exam results for Online Unproctored exams are available immediately upon submission.
Exam results for Paper-based Proctored exams are available online within 3 to 5 business days if you have no outstanding fees.
When your grade has been released, you can access your exam results by logging into your IFSE account. Once you have logged in:
- Select “My IFSE”
- Select “Courses”
- Select “Show me my Marks for this Course” (this link only appears when your results are available).
Printed text materials or textbooks are hardcopy versions of the online course material. They are optional to purchase and take between five to seven business days to be delivered. They do not include any interactive components (i.e., exercises, quizzes, case study and practice exam) from the online course. Instead, you are instructed to go online to complete those elements. This product is not refundable.
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