Advancing financial careers since 1987

 

Foran Chief Compliance Officers Seminar

Foran Class Code: FCCO

CCO Content Covered:

This two-day Foran Chief Compliance Officer seminar covers important areas of the Chief Compliance Officers Course including: the role of compliance and the regulatory environment, risk management, ethics, the formal compliance structure, industry processes, policies and procedures, monitoring and record keeping, client complaints, broker and regulator relationships, investment bankingand trade desk compliance.

Toronto Dates:

October 4-5

Lectures: 8:30 a.m. - 6:00 p.m.
Total Hours of Instruction: 16 hours

Tuition: $795 + HST

Call (416) 947-1922, for outside GTA call toll free at 1-800-565-0374


Continuing Education Credits: 16
Note on Foran Continuing Education (CE) Credits:
Foran Financial Institute issues CE Credits for all of its licensing seminars. However, it is at the discretion of your compliance department whether Foran CE Credits fill CE Credit requirements.

Foran Financial Institute is an independent supplier of educational services. Its exam preparation courses are not sponsored by the Investment Funds Institute of Canada, the Institute of Canadian Bankers, or any other industry organization.