| Institute Members: | 15 credits (including 3 Ethics) |
| Provincial Life Credits: | 15 credits (BC, AB, SK, MB, ON) |
| CFP® Certificants: | 15 credits (2 Professional Responsibility, 13 Financial Planning) |
| IIROC: | 15 credits (3 credits Compliance or Professional Development, 5 Professional Development, 7 Compliance) |
| MFDA: | 15 credits (5 Professional Development, 10 Business Conduct Non-ethics) |
These courses are pre-approved by the Institute. You also earn your mandatory ethics credits.
Thanks to the merged accreditation approach of C’Life, these courses also provide life, FP Canada, IIROC, and MFDA credits. Complete them promptly and use the credits across the board!
You receive:
| 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) |
| CFP® Certificants: | 3 credits (Financial Planning) |
| Institute Members: | 3 credits (includes 1 Ethics) |
| IIROC Credits: | 3 credits (Compliance and/or Professional Development) |
| MFDA Credits: | 3 credits (Business Conduct – Non-Ethics) |
Knowing your client (KYC) takes time, training, and perseverance. It is surely one of the most challenging requirements faced by those with client responsibilities in the financial services.
KYC is the basis for determining suitable investments. It is in your best interest to do a good job of KYC collection and maintenance. It is in your client’s best interest that you practice KYC to the regulatory minimums and beyond.
This course puts you on the right track to accomplish those objectives. You will learn the importance of collected information and how client characteristics affect the client profile and your resulting actions. You will learn how to get the facts you need. And, you will learn some impediments to KYC.
Experience the advantages of good KYC with the knowledge from this important course.
- Addresses the new client-focussed reforms as they apply to know your client requirements;
- Reviews what comprises essential facts and their relevance;
- Illustrates the relationship between KYC and suitability;
- Check your decisions with a blueprint for action.
| Provincial Life Credits: | 5 credits (BC, AB, SK, MB, ON) |
| Provincial A&S Credits: | 5 credits (AB, SK, MB, ON) |
| CFP® Certificants: | 5 credits (Financial Planning) |
| Institute Members: | 5 credits |
| IIROC Credits: | 5 credits (Professional Development) |
| MFDA Credits: | 5 credits (Professional Development) |
Among the many factors to consider in an insurance transaction are those that will result in a policy that will be suitable for clients and fulfill their needs. This course paves the way to making the right choices to attain the right outcomes.
- Develop a wide-ranging understanding of your role in making insurance right for the clients you have and prospects you encounter;
- Focus on needs-based selling to sell the right insurance, in the right amount, at the right cost;
- Make your sales process serve the client by eliminating conflict of interest and by following ethical imperatives.
You will develop a wide-ranging understanding of your role in making insurance right for the clients you have and prospects you encounter. Complete this course now to gain selling confidence and proficiency.
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