Supervisory Responsibilities
The course “Supervisory Responsibilities” is designed for professionals in Canada’s financial industry. In this course, we cover a variety of elements, including supervisory structures, effective delegation, risk-based oversight models, and monitoring tools.
By unpacking emerging risks such as complex products, hybrid work models, and cyber threats, this course ensures that you’re prepared to protect investors, maintain market integrity, and fulfill regulatory obligations. Real-world scenarios highlight practical supervisory interventions and compliance failures.
To receive continuing education (CE) credits for this course, you need to obtain a mark of 6 out of 10 or higher on the quiz. This course qualifies for the following CE credits:
| Governing Body | Credit Hours | Category |
|---|---|---|
| CSF | pending | |
| FP Canada | pending | |
| IAFE - The Institute | pending | |
| IDD- CIRO | pending | |
| Institut de Pl. Fin. | pending | |
| MFD-CIRO | pending |
More information about continuing education requirements is available here.