BCO Practice Questions - Branch Compliance Officer (BCO) Exam

Under CIRO Mutual Fund Dealer Rules, who is considered an 'Approved Person'?

Any individual registered or permitted by a securities commission to conduct registerable activity on behalf of a dealer member Only the Chief Compliance Officer (CCO) and the Chief Executive Officer (CEO) Any client who has been approved by the compliance department to use leverage A branch manager who has passed the BCO course but has not yet registered with the regulator

Correct Answer:

Any individual registered or permitted by a securities commission to conduct registerable activity on behalf of a dealer member

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