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By:
Michael Smith
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Decks in this class (13)
Chapter 5 - Formal Compliance Structure
What iiroc rule sets out the regu...,
Does the ceo have to be the udp,
What is the difference between th...
8
cards
Chapter 6 - Key Issues and Processes
Does the naaf require a client si...,
What is the threshold for identif...,
Name 2 requirements that go along...
30
cards
Chapter 7 - Policies & Procedures
What is the difference between po...,
What are two essential components...,
How frequently must policies proc...
3
cards
Chapter 8 - Monitoring
What is meant by controls when ta...,
What rule requires all dealer mem...,
What is the difference between de...
17
cards
Chapter 9 - Record-keeping Requirements
What are the record keeping requi...,
What are the record keeping requi...,
What are the record keeping requi...
13
cards
Chapter 10 - Client Compliants
What must be provided to the clie...,
Within how many days must an ackn...,
How long must complaint files be ...
14
cards
Chapter 11 - Regulatory Investigations
Is a dealer required to open an i...,
What is the record retention requ...,
What is the record retention requ...
11
cards
Chapter 12 - Registration
What are the 3 criteria used by i...,
How many registration categories ...,
To whom does iiroc ce program per...
15
cards
Chapter 13 - Trading Rules and Issues
What is the maximum penalty for w...,
What are the penalties under the ...,
Who performs the overall oversigh...
19
cards
Chapter 14 - IC/CB Arrangements
Under what conditions does an ib ...,
What is the type of arrangement u...,
Does cipf cover omnibus accounts
5
cards
Chapter 1 - Role of Compliance
What is today s role of compliance,
How do you install a culture of c...,
What are some of the boards key r...
6
cards
Chapter 2 - Canada's Reg Environment
Is cipf and sro,
What are 4 systems shared by the csa,
For criminal act offence act what...
13
cards
Chapter 3 - Risk Management
Who creates the iiroc rtr risk tr...,
What 3 sources provide the inform...,
What is regulatory risk
4
cards
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CCO Exam
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