| IIROC Credits: | 10 credits (Compliance) |
| Provincial Life Credits: | 10 credits (BC, AB, SK, MB, ON) |
| Provincial A&S Credits: | 3 credits (AB, SK, MB, ON) |
| CFP® Certificants: | 10 credits (8 Financial Planning, 2 Professional Responsibility) |
| Institute Members: | 7 credits (including 2 Ethics) |
| MFDA Members: | 10 credits (Business Conduct Non-ethics) |
| General Credits: | 3 credits (BC, AB, SK, MB, ON) |
| Adjuster Credits: | 3 credits (AB) |
One package fufills all Compliance credits for IIROC Cycle 10 ending 31/12/25.
| Provincial Life Credits: | 7 credits (BC, AB, SK, MB, ON) |
| CFP® Certificants: | 7 credits (5 Financial Planning, 2 Professional Responsibility) |
| Institute Members:: | 7 credits (includes 2 Ethics) |
| IIROC Credits: | 7 credits (Compliance) |
| MFDA Credits: | 7 credits (Business Conduct – Non-Ethics) |
Investors deserve the best possible conduct and business practices by the participants in the investment industry. Protection of seniors and vulnerable clients is a particularly key priority. This focus does not eliminate the need for remaining investors to also be protected.
This course delves into key principles of investor protection with details about:
- The trusted contact person requirement;
- The appropriate assessment of client risk;
- Elimination of conflict of interest;
- Market integrity;
- The proper handling of complaints.
These subjects equip you with the knowledge to perform ethically and to the highest standard.
| Provincial Life Credits: | 3 credits (BC, AB, SK, MB, ON) |
| Provincial A&S Credits: | 3 credits (AB, SK, MB, ON) |
| CFP® Certificants: | 3 credits (Financial Planning) |
| IIROC Credits: | 3 credits (Compliance) |
| MFDA Credits: | 3 credits (Business Conduct – Non Ethics) |
| General Credits: | 3 credits (BC, AB, SK, MB, ON) |
| Adjuster Credits: | 3 credits (AB) |
Make clients, colleagues, and managers happy to work with you. Increase managerial and client satisfaction by turning conflict into collaboration. This Course shows you how.
Learn:
- How conflicts begin and how to manage them to a satisfactory solution;
- To recognize your personal style and those around you: are you competitive? An avoider? A compromiser?
- How to get to the bottom of a problem before it becomes a deal-breaker;
- The importance of win-win negotiation.
Includes a win-win negotiation preparation worksheet!
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