CCC Surveillance and Reviews Guide

Surveillance and Reviews is a CCC exam topic weighted at 12%. Use this chapter landing page to frame the compliance problem first, then move into the section lessons for ownership, supervision, surveillance, documentation, escalation, remediation, and regulator-response cues.

What this topic is really testing

• surveillance program design and alert logic
• exception handling and review follow-up
• compliance reviews, testing, and remediation
• reporting surveillance and review findings

Section lessons

Better first instincts

Common traps

• treating compliance as only policy wording instead of operating evidence
• choosing the answer that sounds strict but does not fit the owner or timing
• missing when business-line supervision and compliance oversight are both relevant
• ending at escalation without remediation and follow-up testing

In this section

• CCC Surveillance program design and alert logic Guide
  CSI Canadian Compliance Course study guide for surveillance program design and alert logic, with learning objectives, supervision cues, and compliance exam traps.
• CCC Exception handling and review follow-up Guide
  CSI Canadian Compliance Course study guide for exception handling and review follow-up, with learning objectives, supervision cues, and compliance exam traps.
• CCC Compliance reviews, testing, and remediation Guide
  CSI Canadian Compliance Course study guide for compliance reviews, testing, and remediation, with learning objectives, supervision cues, and compliance exam traps.
• CCC Reporting surveillance and review findings Guide
  CSI Canadian Compliance Course study guide for reporting surveillance and review findings, with learning objectives, supervision cues, and compliance exam traps.