Chief Compliance Officers Qualifying Examination (CCO)
Free 20-question CCO practice test. Start below.
Question 1 · Ultimate designated person
Coastline Securities Inc., a CIRO investment dealer, is restructuring. The board proposes registering Arjun Mehta, Executive Vice-President of Compliance, as the firm's ultimate designated person (UDP) because he “knows the rules best.” The CEO, Laura Benoit, runs the entire firm, and all of its operations involve registerable activity.
Under NI 31-103, who must be designated as the UDP?
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About this exam
Chief Compliance Officers Qualifying Examination (CCO)
Firm-level compliance systems, regulatory governance, escalations, and supervisory accountability.
Exam syllabus
What CCO candidates need to cover
CCO prep is heavy on governance, escalation, and supervisory reasoning. Candidates usually improve when they rehearse full control frameworks rather than memorize isolated rules.
Compliance governance and supervisory system design
Escalation, exception handling, and documentation standards
Client-facing conduct, suitability, and control accountability
Monitoring, surveillance, and reporting expectations
Regulatory obligations for firm leadership and oversight
Risk culture, remediation, and compliance evidence trails