Mutual Fund Compliance

Prix de vente$44.95

The continuing education (CE) course "Mutual Fund Compliance" covers the compliance and industry standards that relate to the sale and distribution of mutual funds. In this course, we cover a number of topics, including Canada's regulatory landscape, the rules that govern member firms and individual licensees, and the enforcement and possible sanctions currently in place.

To receive CE credits for this course, you will need to receive a mark of 6 out of 10 or higher on the final quiz. This course qualifies for the following CE credit hours:

Governing Body Credit Hours Category
CSF 3.0 Compliance / Conformité
FP Canada 3.0 Financial Planning
IAFE - The Institute 3.0 1 credit is related to ethics
IDD (CIRO) 3.0 Compliance 
Institut de Pl. Fin. 2.0 SC / NP
MFD (CIRO) 3.0 Business Conduct - Other

This course may also qualify for CPA credit hours. More information about continuing education requirements is available here.