FAQ

Continuing Education Requirements & Credits

How many hours of continuing education do I need?
Is continuing education worth it?

Of course continuing education credits are worth “it”. If by “it” you mean expanding your knowledge base, understanding something new and actually remembering what you learned. Yeah, it’s worth your time (and most of you have to meet these requirements anyways).
Where can I get continuing education credits?

Registered persons can check out CIRO’s list of accredited courses for each CE cycle to find approved learning opportunities.

This is where you can find a list of all approved courses for each cycle – https://www.ciro.ca/registered-individuals/continuing-education/investment-dealer-id-continuing-education-ce-program
Do I get a Certificate of completion?

Yes. In the background, we do all the due diligence that a compliance professional would do in your company. We check that you’ve completed all sections of each course you’ve taken. We check that you’ve watched all the videos and completed all the exams. Once we’ve done all that nerdy stuff, we’ll email you a Certificate of Completion directly to your inbox.
What is the difference between professional development and compliance credits?
Ten (10) hours of Compliance training covers ethics, regulations, and industry rules. This ensures professionals stay up to date with regulatory changes and best practices.

Twenty (20) hours of Professional Development training focuses on investment strategies, financial analysis, and portfolio management. These courses help professionals improve their skills and knowledge in areas relevant to their practice.

Hope that clarifies things!
Do you offer continuing education credits in Canada?

Basically, if you’re registered with CIRO, it doesn’t matter where you live in Canada. Our courses have gone through a rigorous review and accreditation process by CIRO. They accredit our courses and anyone across our great nation can complete our courses and use those credits to meet their regulatory requirements.
Have you been through the end of a two-year cycle?

Our founder was responsible for managing the registration of persons across Canada (MFDA and IIROC) for one of the big banks. Our founder’s registrations team submitted thousands of accreditation information to the SRO at the end of those cycles for thousands of registrants.

Course Format & Accessibility

Are your continuing education courses offered online?
What’s the pass rate for your exams?

Our courses require you complete several exam questions in between your lessons. The completion rate of our exams is 75% +, however, we also understand that we’re all human (not AI), and we make mistakes. Course information can be re-reviewed and you can re-take all exams.
Are continuing education credits offered in French?

Currently, our online courses are all offered in English. We can customize all of our courses for French-speakers through captions and translation. If you’re a member of a firm and the firm is interested in customized French courses, contact us at firstclass@complywithme.ca.
Can I skip to the end of the course?

Go right ahead, but you won’t get our Certificate of Completion. Certificates of Completion are only provided to registrants who watch all our videos, take all our exams, and participate in our courses. We do due diligence to confirm our courses are completed by each of our learners.
Why is continuing education so boring?

We dunno. At Comply With Me, our founder managed compliance of an enterprise compliance program for the wealth management and asset management groups for one of the big banks and education is a big part of a successful compliance framework. She saw the standard for continuing education for registered persons and thought there must be a better way to do this. After several years of education in designing adult education, Comply With Me was born, to turn traditional education on its head.

Accreditation & Compliance

You guys make a lot of jokes, how do I know Comply With Me is really accredited?
How do you meet regulatory requirements?

We design our courses to meet regulatory requirements. Our script bakes in all the good regulatory and compliance stuff. Then we apply to CIRO for accreditation and work with their team to showcase that Comply With Me’s courses are worthy of their accreditation honour. And, they are!
Where do I find the accreditation number?

Costs & Recordkeeping

What records do I need to keep and/or provide to the regulator, SRO or in NRD?

You must maintain a record of the Certificate of Completion and provide that to your Registration Team or upload it to NRD. You must also maintain a record of completing any assignments and be able to produce that record as required by a regulator, SRO, your Firm, or Compliance Group to demonstrate completion of your continuing education credits.
What if I lose my Certificate of Completion?
What is the cost per course?
Are continuing education courses paid by my company?

Most likely, yes. Most registered persons are employed with a registered firm. It is in the best interests of firms to help their securities professionals maintain their compliance and professional development credits. Our courses provide you with a receipt so you can write it off when you complete our courses. We’ll also give you a Certificate of Completion so you can prove you completed the courses. Easy peasy!
Are continuing education courses tax deductible?

You’ll have to ask a tax professional that question, like an Accountant, Bookkeeper, or someone else who is good with numbers and tax laws. If you have to pay for your course on your own, the CRA allows you to deduct some tuition expenses, over $100. Here’s the CRA guidance if you need more information: https://www.canada.ca/en/revenue-agency/services/forms-publications/publications/p105/p105-students-income-tax.html#tuition

Course Design & Content Creation

Where do the scripts come from?

We write them alone or in collaboration with our partners. We partner with experts across industries who are in the best position to educate you about different topics. Our experts are the best. They know what they’re doing and we rely on their knowledge and expertise to produce great content.
Who narrates your videos?
Who designs the videos?

Our Design Team does illustration, animation, video and audio production, and informational design. Our legal and compliance professionals provide their expertise while the Design Team uses their creative juices to develop really interesting educational content.
Do you use Artificial Intelligence (AI) to create your courses?

Someone once said, “your AI is showing!” Argh! We aim not to showcase our AI. AI is a fantastic tool that we use whenever we can to improve our workflow, but our courses are not generated by AI. We use brain power and research to draft our scripts. We use designers, animation and design tools to create our courses. We use real people to narrate our courses. AI is always improving and our position on AI might too, but it takes months, weeks, days and hours of human time to develop our wonderful courses for you.
What is Learning Experiential Design?

Other Services

The courses are great, but I need policies, procedures, forms, resources, to enhance my compliance program. Do you do anything else?

Wonderful! As a full-time compliance consultancy business, we do everything compliance-related.

Some members of our team also work for a law firm and we’re able to provide legal advice and support, as required. Check out the law firm here to check out the list of services we can provide.