EXPLORE PROGRAMS
Compliance is everyone's responsibility. Whether you work in a front-line, operational, or supporting role, you make decisions every day that touch on regulatory, ethical, and reputational risk. This foundational course gives every employee a shared baseline understanding of what compliance is, why it exists, and how to recognize and escalate the issues you are most likely to encounter. The course is designed for any organization operating in or doing business with Canada and is calibrated for non-specialists. It covers the major Canadian regulatory regimes that affect financial services and adjacent businesses, the role of the compliance function, and the personal accountability that every employee carries. Real Canadian enforcement actions and OPC, FINTRAC, and OSC findings are used to make the principles concrete.
You will gain a working understanding of the major Canadian regulatory regimes that affect financial and professional services businesses, the role of the compliance function, the three lines of defence, your personal accountability for compliance, and how to escalate issues through internal and whistleblower channels.
Course Cost :
$100.00
