Investor Protection Principles
$0.00
| Provincial Life Credits: | 7 credits (BC, AB, SK, MB, ON) |
| FP Canada Credits: | 7 credits (5 Financial Planning, 2 Professional Responsibility) |
| Institute Members: | 7 credits (includes 2 Ethics) |
| ID CE Credits: | 7 credits (Compliance) |
| MFD 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.
Price charged to FA: $52.50 (You do not pay on this site.)
