Principles of Compliance

Course Title: Principles of Compliance
Details: This Course helps advisors understand the standards of conduct that guide behaviour, the duties for being compliant, how compliance can be incorporated into everyday activities, and the impact that standards of conduct have on your success.

Learn how to build good compliance habits, develop your own guidance systems and how to best serve your client. Adherence to compliance requirements is essential to:

· protect financial advisors against lawsuits from dissatisfied clients
· save the expense of defence against unwarranted and unsubstantiated claims
· preserve your reputation and that of your firm

Supplemented with case studies and compliance suggestions, Principles of Compliance reinforces both fundamental and practical knowledge.

Also available in French.
Format: Downloadable PDF plus online exam
No. of Pages: 90
Cost (PDF option): Course and exam @ $191.96 add_to_cart.gif
Cost (Book option): Course and exam @ $191.96 + S/H add_to_cart.gif
IIROC: 10.0 CECAP Compliance hours
BC CE Credits: 12.0 hours
Alberta CE Credits:
SK CE Credits: 12.0 hours
MB CE Credits: 12.0 hours
ON CE Credits: 12.0 hours
CFP™ 12.0 verifiable
Advocis 10.0 hours

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