Compliance Seminar

Compliance Seminar Series

RAVE REVIEWS! – Compliance Seminar testimonials

Attendees will earn 5.5 CE credits (2 are Ethics credits)

In today's market conduct environment, how knowledgeable are your producers about compliance? Ignorance is not an excuse! Advocis has developed a one-day, hard-hitting seminar designed to communicate industry principles and guidelines to advisors. An opportunity to have your advisors assessed and certified at the end of the session.

The Compliance Seminar material will address the regulations and guidelines of life insurance, mutual fund, security and financial planning regulators. The materials, including a workbook, will be based on the Advocis Code of Professional Conduct and it will have tools to help guide the actions of financial advisors when conducting business. The seminar series will include lots of real life examples pertaining to what should and should not be done. An assessment piece will be administered at the end of the seminar and Advocis will issue a certificate for successful completion.

An incredible value for companies who want to educate their advisors on the importance of compliance!

Dates and venues for the program, available through your local chapter, are currently being finalized.

If you wish to participate as a Corporate Partner, please contact JP Larda at jplarda@advocis.ca or at 1-800-563-5822, ext. 247

Cost:

• Individual members: $295/advisor + GST/HST
  
• Individual non-members: $395/advisor + GST/HST

Compliance Seminar Series brochure and Pricing Options [PDF file – 84KB]

RAVE REVIEWS! – Compliance Seminar testimonials

The Compliance seminars were a great success. This hot topic is on the minds of all financial advisors. Advocis recognizes the need for continuing education on this subject. Here are some of the rave reviews from our members who attended this event at their chapter.

Very informative and reassuring that our practice is on the right path! Brian McMillan

Excellent day! Helps to clarify areas that are very important to us as front line sales people. This was an excellent program and should be repeated in the future so that we can measure our progress in understanding this topic fully. Ivar Johnson

Well Done! Best I have been to in quite a long time. John Grant

Excellent seminar! Outlined many points that were unclear and offered options and ideas for remedying situations before they become problems. David McRae

Great that it was an interactive session ... very informative with useable information. Beth Lachance Hesson

Teach and ask questions, we learn from the other agents as well as the speaker... good speaker, very knowledgeable. Grace Lawrie

Excellent knowledge and experience on speakers’ part. Most attendees were long-time in the business where are the new people in our business getting their qualifications? P. Litston

Good speaker, strong presenter and kept interest for the full time allotted! Our industry will be a leader in our clients’ eyes, as we strive to implement the points of our compliance seminar! Canada needs leaders!

Very useful and pertinent! Patricia Silver

Compliance is an area that’s a lot like going to the dentist ... no one wants to sit through a half day seminar on this topic, but not understanding and implementing these processes and procedures can cause one heck of a tooth ache. Very useful information for running my practice! Craig Lilley

Compliance and ethics can be very dry, but he made it entertaining and easy to listen to. I enjoyed the compliance seminar; it reinforces how to conduct my business on a daily basis. I recommend all life agents participate in this course. Michael McCarthy

Great job, active audience participation and sharing of ideas were the key. One thing is constant in our industry/profession, which is change. Those who choose to embrace it will take one idea from this seminar and institute it into their practice; this seminar should be mandatory for anyone holding a life or mutual funds license. Robert McEachern