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Protect Your Practice

At Advocis we recognize your practice is one of your most valuable assets. There's always the possibility it can be a target of fraud, and we want to provide information so you can take proper steps to avoid such threats. Our modules offer key indicators to determine any reasonable grounds for suspicion.

Advisors have a role to observe the highest standards of conduct to retain the trust, respect, and confidence of colleagues and members of the public. The module provided below breaks down guidelines for best practices and elements for compliance.


Modules

Making Choices: Ethics and Professional Responsibility in Practice1 CE

A core value at Advocis is the commitment to professionalism among financial advisors. Effective January 1, 2015, FPSC added the category, Professional Responsibility to the continuing education (CE) requirements for CFP® professionals and FPSC Level 1® certificants in Financial Planning. FPSC Standards of Professional Responsibility represent the commitment of the CFP professional and the FPSC Level 1® certificant to the public, the industry and the profession. This one-hour CE module guides you through a review of the principles and codes that comprise the Standards of Professional Responsibility and presents client case studies to focus on their application in practice.

  • Learning Objectives
  • Overview
  • Features
  • Delivery
  • Price

  • To review the FPSC Standards of Professional Responsibility
  • To apply these Standards of Professional Responsibility via analysis of real–life case studies of potential client scenarios that highlight ethical dilemmas and ways to potentially resolve them


Format: Online learning & quiz

Pre-requisites: None

CE Credits: 1 CE,

Note: Please check with your jurisdiction, designating body or professional association regarding their CE requirements.

Additional Material: Download and review the Standards of Professional Responsibility from FPSC's website (fpsc.ca)

Completion Requirements:

  • Passing mark is 60% overall
  • Completion of quiz (100% of overall mark)


  • One month window for completion
  • Two quiz attempts
  • Download content


  • Self-study: The Advocis online modules are designed as self-study, with success highly dependent on the student’s personal discipline. Students are presented with learning content and quizzes to assess their overall understanding.


Members: $15.00 plus taxes

Non-members: $25.00 plus taxes

Administrative Policies:

  • All purchases are non-refundable
  • There are no cancellations or extensions
  • Expiry date is 30 days after registration
  • Students must re-purchase after 2 unsuccessful attempts
  • Allow for 1-2 business days to access the module following the registration and payment process

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 MAKING CHOICES II: ETHICS AND PROFESSIONAL RESPONSIBILITY IN PRACTICE 1 CE

A core value at Advocis is the commitment to professionalism among financial advisors. Effective January 1, 2015, FPSC added the category, Professional Responsibility to the continuing education (CE) requirements for CFP® professionals and FPSC Level 1® certificants in Financial Planning. FPSC Standards of Professional Responsibility represent the commitment of the CFP professional and the FPSC Level 1® certificant to the public, the industry and the profession. This one-hour CE module guides you through a review of the principles and codes that comprise the Standards of Professional Responsibility and presents client case studies to focus on their application in practice.

  • Learning Objectives
  • Overview
  • Features
  • Delivery
  • Price

  • To review the FPSC Standards of Professional Responsibility
  • To apply these Standards of Professional Responsibility via analysis of real–life case studies of potential client scenarios that highlight ethical dilemmas and ways to potentially resolve them


Format: Online learning & quiz

Pre-requisites: None

CE Credits: 1 CE, applicable either to the Professional Responsibility category or to the Financial Planning category

Note: Please check with your jurisdiction, designating body or professional association regarding their CE requirements.

Additional Material: Download and review the Standards of Professional Responsibility from FPSC's website (fpsc.ca)

Completion Requirements:

  • Passing mark is 60% overall
  • Completion of quiz (100% of overall mark)


  • One month window for completion
  • Two quiz attempts
  • Download content


  • Self-study: The Advocis online modules are designed as self-study, with success highly dependent on the student's personal discipline. Students are presented with learning content and quizzes to assess their overall understanding.


Members: $15.00 plus taxes

Non-members: $25.00 plus taxes

Administrative Policies:

  • All purchases are non-refundable
  • There are no cancellations or extensions
  • Expiry date is 30 days after registration
  • Students must re-purchase after 2 unsuccessful attempts
  • Allow for 1-2 business days to access the module following the registration and payment process

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Financial advisors in the insurance and securities industry will learn anti-money laundering and terrorist financing basics; Canadian regulations and the offences and penalties for non-compliance; and ways to implement and adhere to your customized compliance regime, including recordkeeping obligations and timelines. This one-hour CE session assists financial advisors in understanding the requirements mandated under the Proceeds of Crime (Money Laundering) and Terrorist Financing Act (PCMLTFA).

Note: This module is only available to Advocis members.

  • Learning Objectives
  • Overview
  • Features
  • Delivery
  • Price

  • To help detect and deter money laundering and the financing of terrorist activities


Format: Online learning & quiz

Pre-requisites: None

CE Credits: 1 Ethics CE

Note: Please check with your jurisdiction, designating body or professional association regarding their CE requirements.

Additional Material: None

Completion Requirements:

  • Passing mark is 60%
  • Completion of one online quiz (100% of overall mark)


  • Voice-over PowerPoint slides presented in two 30-minute sessions followed by an online quiz
  • Unlimited access to content
  • Unlimited quiz attempts


  • Self-study: This is designed as a self-study module, with success highly dependent on the student's personal discipline. Students will view an online video presentation and then take a quiz to confirm their understanding.


Members: No charge

Non-members: Not available

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The National Do Not Call List – What You Need to Know1 Ethics CE

The CRTC Rules regarding the Do Not Call List (DNCL) of consumer telephone numbers applies to financial advisors and how you connect with prospective and existing clients. In this one-hour CE session you will be provided with an overview of which CRTC rules apply to you and your practice as well as the penalties imposed on Advisors found to be in violation of the CRTC rules.

Note: This module is only available to Advocis members.

  • Learning Objectives
  • Overview
  • Features
  • Delivery
  • Price

  • To determine the impact of the DNCL on a financial advisor's practice and identify compliant approaches of pursuing new business opportunities


Format: Online learning & quiz

Pre-requisites: None

CE Credits: 1 Ethics CE

Note: Please check with your jurisdiction, designating body or professional association regarding their CE requirements.

Additional Material: None

Completion Requirements:

  • Passing mark is 60%
  • Completion of one online quiz (100% of overall mark)


  • Video presentation followed by an online quiz
  • Unlimited access to content
  • Unlimited quiz attempts


  • Self-study: This is designed as a self-study module, with success highly dependent on the student's personal discipline. Students will view an online video presentation and then take a quiz to confirm their understanding.


Members: No charge

Non-members: Not available

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Knowing the Code of Professional Conduct1 Ethics CE

A core value at Advocis is the commitment to professionalism among financial advisors. Part of being a member means agreeing to abide by the Advocis/Institute Code of Professional Conduct (CPC) and Disciplinary Procedures. This one-hour CE session guides you through the principles that compose the CPC, as well as its value to consumers, Advocis members, and the industry as a whole. As you learn about the process The Institute follows to enforce the CPC when investigating complaints of breaches of the Code, you will gain a thorough understanding of the disciplinary procedures, including the dispute resolution process, hearings, and sanctions.

Note: This module is only available to Advocis members.

  • Learning Objectives
  • Overview
  • Features
  • Delivery
  • Price

  • To discuss the principles underlying the Code and its value to you and your practice
  • To discuss the details, application and enforcement of the Code


Format: Online learning & quiz

Pre-requisites: None

CE Credits: 1 Ethics CE

Note: Please check with your jurisdiction, designating body or professional association regarding their CE requirements.

Additional Material: None

Completion Requirements:

  • Passing mark is 60%
  • Completion of one online quiz (100% of overall mark)


  • Voice-over PowerPoint slides presented in two 30-minute sessions followed by online quiz
  • Unlimited access to content
  • Unlimited quiz attempts


  • Self-study: This is designed as a self-study module, with success highly dependent on the student's personal discipline. Students will view an online video presentation and then take a quiz to confirm their understanding.


Members: No charge

Non-members: Not available

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