financial compliance curriculum

Canadian Financial Compliance

Training

Seven modules on privacy, prudential, consumer protection, AML and

investment dealer rules. Approximately 90 minutes.

Frameworks covered: PIPEDA, OSFI, FCAC, FINTRAC, PCMLTFA and CIRO.

Pass mark: 80% across module quizzes. Answer key is at the back.

Contents

Module 1: Compliance landscape (10 min)

Module 2: PIPEDA and privacy (15 min)

Module 3: OSFI expectations (15 min)

Module 4: FCAC consumer protection (15 min)

Module 5: FINTRAC reporting (15 min)

Module 6: PCMLTFA program duties (15 min)

Module 7: CIRO investment dealers (10 min)