Continuing Education Management
Continuing Education Supervised, Not Spreadsheeted
CE Manager is continuing education tracking software for CIRO, FINRA and SEC regulated firms. Advisors see what they still need, compliance reviews every credit in one governed queue, and leadership gets audit-ready evidence of supervision, including for dual-registered advisors.
Supervisory CE
Every CE Obligation
in One Audit-Ready Hub
Credit Tracking
Compliance, professional development and mandatory conduct credits tracked per advisor against each cycle's requirements.
Governed Approval Queue
Approve, reject or request information individually or in bulk, with segregation of duties so no one approves their own credits.
Deadline Alerts
A deadline calendar and reminder schedule surface at-risk advisors well before cycle end, not at renewal.
Cross-Border Equivalency
Dual-registered advisors are tracked once, with CIRO credits mapped to FINRA Regulatory and Firm Element requirements.
Seven-Year Archive
Historical credits and certificates migrate from legacy platforms into a searchable seven-year archive, with every submission and decision retained for exams.
Regulator-Ready Exports
Generate CERTS upload files, FINRA Gateway submission packages and province-split exports straight from the system of record.
How It Works
From Course Certificate to Attested Record
With continuing education tracking software, six steps take a CE credit from the advisor’s upload to an audit package your CCO can stand behind.
Step 1
Submit
Advisors upload certificates one at a time or in bulk, with duplicate submissions flagged.
Step 2
Map
Courses from providers such as CSF, FP Canada, Advocis and CFA Institute map to CIRO categories automatically.
Step 3
Review
Compliance approves, rejects or requests information, with every note kept in the compliance journal.
Step 4
Resubmit
Advisors answer information requests and upload replacement certificates in a guided loop.
Step 5
Monitor
Leadership tracks firm-wide CE risk, at-risk advisors and upcoming deadlines on one dashboard.
Step 6
Attest & Export
The CCO records a monthly oversight attestation and exports regulator-ready files and audit packages.
Dual-Registered Advisors
One Record for Advisors on Both Sides of the Border
Advisors registered with CIRO and FINRA are tracked once. CE Manager maps credits across jurisdictions, tracks the FINRA Regulatory Element window and flags conflicts before a deadline is missed.
CIRO-to-FINRA credit mapping
FINRA Regulatory Element window
Jurisdiction conflict alerts
Four-Eyes Review
A Governed Review Queue for Compliance
Compliance works one queue of pending submissions with approve, reject, request information and override actions. Overrides require a rationale, no one can approve their own credits, and every decision is logged with attribution.
Bulk approve and reject
Segregation of duties
Attributed audit log
Exam-Ready Evidence
Prove Supervision, Not Just Completion
Leadership sees firm-wide CE risk at a glance, records the CCO's monthly oversight attestation and generates tamper-evident audit packages and board reports with every note and certificate attached.
Leadership risk dashboard
Monthly CCO attestation
Tamper-evident audit packages
Frequently Asked Questions
Continuing Education Tracking Software
What is continuing education tracking software?
Continuing education tracking software records each advisor’s CE credits against their regulatory cycle, flags advisors at risk of missing a deadline and keeps the evidence compliance needs for an exam. CE Manager does this for CIRO and FINRA requirements in one record, including for dual-registered advisors, with a governed review queue and audit-ready exports.
How does CE Manager track CIRO continuing education requirements?
CE Manager tracks CIRO continuing education per advisor, per cycle. It tracks compliance, professional development and mandatory conduct training credits against each cycle's requirements, shows advisors what remains and when it is due, and flags advisors at risk of missing the deadline. CE Manager is available in English and French, and each user can choose their working language.
How does CE Manager handle FINRA Rule 1240 continuing education?
CE Manager tracks FINRA Regulatory and Firm Element requirements alongside CIRO. It tracks the annual FINRA Rule 1240 Regulatory Element, due by December 31, and Firm Element training, includes a Firm Element needs analysis, and prepares FINRA Gateway submission packages.
How are dual-registered advisors in Canada and the United States managed?
Dual-registered advisors are managed once, with credits mapped across. Advisors registered with both CIRO and FINRA are tracked in a single record. CE Manager maps CIRO credits to FINRA equivalents, shows license inventory and CRD status, and flags jurisdiction conflicts such as license deadlines that fall close together.
Can CE Manager map courses from external providers to CIRO categories?
Yes, CE Manager maps external courses automatically. When an advisor submits a course from a recognized provider such as CSF, FP Canada, Advocis, CFA Institute or CSI, CE Manager maps it to the right CIRO category, and courses that need CIRO approval or fall outside eligible categories are flagged for compliance review.
How are CE submissions reviewed and approved?
CE submissions are reviewed in a governed queue with four-eyes controls. Compliance can approve, reject, request information or override with a written rationale, individually or in bulk. No one can approve their own credits, and every action is recorded with the user and role.
What reports and exports does CE Manager produce for regulators?
CE Manager produces regulator-ready files from the system of record. Exports include CERTS upload files, FINRA Gateway submission packages, province-split files for dual-registered advisors, advisor transcripts, board reports and audit packages protected by a SHA-256 integrity hash.
How does CE Manager support supervisory oversight and attestation?
CE Manager records supervision as evidence. Leadership tracks firm-wide CE risk and a watchlist of at-risk advisors, the CCO records a monthly oversight attestation, and actions taken on alerts are saved to the supervisory log. Historical credits can be migrated into a seven-year archive.
What happens when an advisor falls behind on CE?
An advisor who falls behind is flagged well before the deadline. CE Manager marks advisors at risk as the cycle progresses, sends deadline reminders at 90, 60 and 30 days before cycle end, and adds them to the leadership watchlist. Alerts can be escalated to the branch manager or CCO, and every action is logged as supervisory evidence.
Beyond Continuing Education
Connect CE to the Rest of Your Compliance Program
CE Manager runs on the same platform as digital onboarding, KYC maintenance and trade surveillance, so advisor records, supervision and audit trails live in one place.