CE Courses

Principles of Compliance


This course helps you learn how to build good compliance habits, develop your own guidance systems, and best serve your client.

Also available in French.

Adherence to compliance requirements protects you against lawsuits from dissatisfied clients and preserves your reputation and that of your firm. 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: Online

No. of Pages: 90 pages

IIROC: 10 CECAP Compliance hours

BC CE Credits: 12 hours

AB CE Credits: 0 hrs

SK CE Credits: 12 hours

MB CE Credits: 12 hours ***

ON CE Credits: 12 hours


CFP®: 12

The Institute 10 hours

*** Entry of CE for the same course more than once may be permitted on an exception basis only. If an agent wishes to claim credit for a course more than once, the agent must contact Council for prior approval and provide written reasons. This review is subject to the individual course review fee of $50.