CIRO CCO Practice Questions - CIRO Chief Compliance Officer Qualifying Examination Exam

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According to CIRO Rules, which individual within an investment dealer is ultimately responsible for establishing and maintaining the firm's overall compliance system?

The Chief Compliance Officer (CCO) The Ultimate Designated Person (UDP) The Chief Financial Officer (CFO) The Head of the Board's Audit Committee

Correct Answer:

The Ultimate Designated Person (UDP)

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