This class was created by Brainscape user Jason Reid. Visit their profile to learn more about the creator.
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Jason Reid
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Decks in this class (3)
The Role of Compliance and formal compliance Structure 15%
What is the role of compliance,
Board of directors,
What are senior management
25
cards
Canada’s Regulatory Environment and Risks Faced by Investment Dealers 13%
What is the primary sources of rules,
Iroc is the national self regulat...,
What is the umir
52
cards
CCO Skill Requirements 21%
What skills must a cco have,
All ccos should be aware of indus...,
What questions should a cco ask
62
cards
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Canadian CCO exam
- Class purpose General learning
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