Chief Compliance Officers Qualifying Examination (CCO)
Issued by
Canadian Securities Institute
This digital credential indicates that the individual has completed the Chief Compliance Officers Qualifying Examination (CCO). Completing this course validates that they meet the regulatory proficiency requirements to become a Chief Compliance Officer. They are well-versed with compliance rules and practices and can create and maintain a culture of compliance. They are also able to assess compliance risk and develop and implement proactive systems and controls for company operation.
Additional DetailsSkills
Earning Criteria
Standards
The Canadian Securities Administrators (CSA) protects investors from unfair, improper or fraudulent practices and fosters fair, efficient and vibrant capital markets, by developing a national system of harmonized securities regulation, policy, and practice. Those who complete this course are able to meet CSA’s proficiency requirements.
CIRO is the national self-regulatory organization that oversees all investment dealers, mutual fund dealers, and trading activity on Canada’s debt and equity marketplaces and is carrying on the regulatory functions of IIROC and the MFDA. This course meets CIRO's investment dealer proficiency requirements.