Compliance 101

Course Title: Compliance 101
Details: Being compliant can be a challenge for all members of the financial services industry. However, there is no excuse for not knowing! Being aware of the vast number of rules and regulations for which compliance is required is a must.

This Course provides a useful background on the subject, guidelines for compliant behaviour, plus details on how advisors can inadvertently "go wrong." Compliance 101 is essential CE.
Format: Downloadable PDF plus online exam
No. of Pages: n/a
Cost (PDF option): Course and exam @ $47.96 add_to_cart.gif
Cost (Book option): Course and exam @ $47.96 + S/H add_to_cart.gif
BC CE Credits: 5.0 hours
Alberta CE Credits: 5.0 hours - Life
5.0 - A&S
5.0 - Gen
SK CE Credits: 5.0 hours
MB CE Credits: 5.0 hours
ON CE Credits: 5.0 hours
QC CE Credits: 0 hour
CFP™ 5.0 verifiable

Shipping and Tax are extra.
* non-verifiable, verifiable: see CFP™ Continuing Education Guidelines at