Guide to Spot Checks Course

In October 2025, we introduced our first online course, RIBO’s Guide to Spot Checks, which is available on our new education platform. 

RIBO is committed to strengthening broker knowledge and compliance by investing in regulator-led education initiatives, as part of our new strategic plan. 

While not currently mandatory, RIBO’s Guide to Spot Checks course was designed primarily to educate Principal Brokers and Deputy Principal Brokers. It also is valuable for brokerage staff (Office Managers, Compliance Officers, accountants), education providers, and new or prospective Principal Brokers. 

Course Information 

Registration Fee 

• $50 (Non-refundable) 

Duration 

• Approximately two hours 

Convenient Online Structure 

• Learn at your own pace (rather than attending live sessions) and save your progress 

• Includes a mix of videos, interactive elements, reading material, and knowledge checks to support different learning styles 

• You can access the course within 12 months from the purchase date. 

Topics Covered 

• Introduction: The purpose of Spot Checks and the process 

• Audit Modules: How to use the online system, answer questions, and upload documents 

• Getting Ready: How you will be notified and what to do first to prepare documents and your team 

• During the Review: What happens after you submit your documents, including interviews and follow-up requests 

• After Submission: Possible outcomes and how to maintain compliance 

• Deep Dive: A closer look at each audit area (Modules A to M), from finances to office processes 

Continuing Education (CE) Credits 

Participants who successfully complete RIBO’s Guide to Spot Checks course will receive a certificate of completion for two Management hours which can be applied towards meeting annual CE requirements. 

Certificates are automatically issued by the system. If you do not receive one, it means a step (such as a quiz or a video) has not been fulfilled.

Looking Ahead 

RIBO is exploring future course topics for development aligned with our regulatory mandate, including the Code of Conduct, licensing levels, complaints process, and Position Report filing. 

Have Questions or Feedback? 

We will monitor interest and demand for RIBO’s Guide to Spot Checks course, evaluate usability, and gather feedback for the initial 12 months.  

After reading our Frequently Asked Questions (RIBO Course section), if you still have inquiries or would like to provide feedback, please contact education@ribo.com.