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CE Courses
Compliance 101
$59.95This 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 A&S
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.
