Mutual Fund Compliance
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.
Mutual Fund Compliance
Sale price$44.95
Regular price (/)