Canadian Compliance Course (CCC)
The Canadian Compliance Course (CCC) is the IFSE proficiency course for those who aspire to become Chief Compliance Officers. The CCC replaces the former Officers, Partners, and Directors Course and the Mutual Fund Dealers Compliance Course recognized under National Instrument (NI) 31-103, s. 3.1. The CCC is ideal for those who are seeking to become a Chief Compliance Officer for a mutual fund dealer, exempt market dealer, scholarship plan dealer, investment fund manager, or portfolio manager, and those who are interested in learning about the compliance requirements, duties, and activities of registered firms in Canada.
Tools and Pricing
| Standard Course Price | $650 |
| IFIC Members Course Price | $550 |
| Printed Textbook | $70 |
Click here!Don’t know if your firm is a member of IFIC?
Course Information
COURSE DETAILS
| Delivery | Online |
| Language | English |
| 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
EXAM DETAILS
| 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 |
| Passing grade | 60% |
| Attempts allowed | 3 |
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
EXAM STRUCTURE
| Unit | Weighting (%) |
| 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% |
FAQs
How do I register for a course?Follow these instructions.
- Choose the LOGIN/REGISTER box.
- For returning students, login using your username and password. Choose “Enrol in a Course” in the menu bar.
For new students choose "Become a Student" and supply all mandatory information in the following screens. - If you have a contract code and password, enter it where required and click "Yes". If you do not have a contract code, click "No".
- Choose the course you want to enrol in. Click “Next”.
- If optional products are available for purchase, they will appear for you to choose. Click “Next”.
- Complete your profile information as indicated on the screen. Take care in completing your mailing and shipping address to ensure that any materials that you have ordered will be delivered promptly and correctly. Click the "Save" button to proceed to the shopping cart.
- Verify your shopping cart information and click on "Process Payment".
- Review the Terms and Conditions completely. To accept the Terms and Conditions, check the box and click "Yes". If you do not want to accept the Terms and Conditions, click "No". Your course enrolment will be cancelled.
- Provide your credit card information and click on "Pay Now". Please do not touch the screen until your payment has been processed. A copy of the receipt will appear and can be printed for your records. The receipt will also be stored in your student record for future reference.
How do I get my exam results?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:
- Choose “My IFSE”
- Choose “Courses”
- Choose “Show me my Marks for this Course” (this link only appears when your results are available).
What are printed text materials or textbooks?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.