CE Courses

Compliance 101

$59.95

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. 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." 

 

Format: Online

No. of Pages: 99 pages

BC CE Credits: 5 hrs

AB CE Credits: 5 hours Life, 5 hours Adjusters, 5 hours A&S, 5 hours General

SK CE Credits: 5 hours

MB CE Credits: 5 hours ***

ON CE Credits: 5 hours

QC CE Credits: 0 hours

CFP®: 5

*** 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. Please refer to https://www.icm.mb.ca/files/Renewal_2018/Renewal_2018/FAQs_for_website_for_renewal_-_updated_March_2018.pdf for more information.

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