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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 Practice- 1 ETHICS CE

CFP® Professionals and FPSC Level 1® Certificants in Financial Planning must meet FP Canada's Professional Responsibility continuing education requirement.

Making Choices: Ethics and Professional Responsibility in Practice reviews the FP Canada Standards of Professional Responsibility and through the completion of three case studies, the learner is able to put into practice the knowledge gained through the review.

  • Learning Objectives
  • Overview
  • Features
  • Delivery
  • Price

Upon successful completion of this module, you will:

  • Understand the importance of Ethics in the financial services industry.
  • Become aware the FP Canada Standards of Professional Responsibility and how they help guide ethical behaviour.
  • Understand how to apply the FP Canada Standards of Professional Responsibility to real life situations.

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: Download and review the Standards of Professional Responsibility from FP Canada's website (fpcanada.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 ETHICS CE

CFP® Professionals and FPSC Level 1® Certificants in Financial Planning must meet FP Canada's Professional Responsibility continuing education requirement.

Making Choices: Ethics and Professional Responsibility in Practice reviews the FP Canada Standards of Professional Responsibility and through the completion of three case studies, the learner is able to put into practice the knowledge gained through the review.

  • Learning Objectives
  • Overview
  • Features
  • Delivery
  • Price

Upon successful completion of this module, you will:

  • Understand the importance of Ethics in the financial services industry.
  • Become aware the FP Canada Standards of Professional Responsibility and how they help guide ethical behaviour.
  • Understand how to apply the FP Canada Standards of Professional Responsibility to real life situations.

Format: Online learning & quiz

Pre-requisites: None

CE Credits: 1 ETHICS 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 FP Canada's website (fpcanada.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 III: ETHICS AND PROFESSIONAL RESPONSIBILITY IN PRACTICE - 1 ETHICS CE

CFP® Professionals and FPSC Level 1® Certificants in Financial Planning must meet FP Canada's Professional Responsibility continuing education requirement.

Making Choices III: Ethics and Professional Responsibility in Practice reviews the FP Canada Standards of Professional Responsibility and through the completion of three case studies, the learner is able to put into practice the knowledge gained through the review.

  • Learning Objectives
  • Overview
  • Features
  • Delivery
  • Price

Upon successful completion of this module, you will:

  • Understand the importance of Ethics in the financial services industry.
  • Become aware the FP Canada Standards of Professional Responsibility and how they help guide ethical behaviour.
  • Understand how to apply the FP Canada Standards of Professional Responsibility to real life situations.

Format: Online learning & quiz

Pre-requisites: None

CE Credits: 1.5 CE (includes 1 Ethics), 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 FP Canada's website (fpcanada.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

regnow1

Anti-Money Laundering & Terrorist Financing- 1 Ethics CE

NEW VERSION COMING SOON
Please note that this module is currently being updated and a new version will be released soon. Access to the module is temporarily unavailable.

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: Included with membership

Non-members: Not available

Knowing the Code of Professional Conduct-1 Ethics CE

A core value at Advocis is the commitment to professionalism amongst financial advisors. Part of being a member of The Financial Advisors Association of Canada means agreeing to abide by the Advocis Code of Professional Conduct and willingly observe the highest standards in the best interest of the consumer. This one-hour module steers you through the eight principles underlying the Code, the rules of adherence and provides guidelines to apply in your practice.

  • Learning Objectives
  • Overview
  • Features
  • Delivery
  • Price

Upon completion of Knowing the Code of Professional Conduct, you will be able to;

  • Explain the importance of the Code of Professional Conduct
  • Identify the eight principles and how they are applied in real-life client situations
  • Understand industry best practices to aid in adherence to the Code


Format: Online learning & assessment

Pre-requisites: None

CE Credits: 1.0 Institute accredited Ethics credit

Note: Please check with your jurisdiction, designation body or professional association regarding their continuing education requirements.

Additional Material: None

Completion Requirements:

  • Watch Knowing the Code of Professional Conduct video & complete assessment


  • Unlimited access to content for 30 days
  • 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: Included with membership

Non-members: $25.00

 regnow1

THE VALUE OF ERRORS AND OMISSIONS INSURANCE-1 Ethics CE

This presentation provides financial advisors with a general introduction to the various issues relating to E&O insurance so they are able to gain an in-depth understanding of the product itself. The presentation encourages advisors to take a risk management approach to their coverage and not view E&O insurance simply as a method of regulatory compliance.

  • Learning Objectives
  • Overview
  • Features
  • Delivery
  • Price

  • Understand why E&O insurance is needed
  • Discover which protection services are available under an E&O policy
  • Learn about the potential sources of claims
  • Learn how to protect yourself in daily practice
  • Understand important terms/concepts
  • Understand the differences between Individual versus corporate coverage
  • Understand vicarious liability


Format: Online learning & quiz

Pre-requisites: None

CE Credits: 1.5 CE (including 1 ethics)

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

Additional Material: None

Completion Requirements:

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


  • Unlimited quiz attempts
  • One-month window for completion
  • Completion of all three Risk Management courses gives you access to a 5% discount on your E&O Insurance with Advocis Broker Services


  • 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: $20.00 plus taxes ($50 plus taxes for bundle of 3 Risk Management courses)

Non-members: $30.00 plus taxes ($75 plus taxes for bundle of 3 Risk Management courses)

Administrative Policies:

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

regnow1 regnow1

FROM BAD TO WORSE: ADVISOR MISTAKES IN THE CLAIMS PROCESS-1 Ethics CE

It takes a team to manage the claims process. When a claim happens, the worst thing an advisor can do is try to take it on their own. This presentation provides a basic review of the claims management process and on the members of the claims management team, with the focus on mistakes that can be avoided by an advisor in the process that can expose the advisor to even greater risk.

  • Learning Objectives
  • Overview
  • Features
  • Delivery
  • Price

  • Learn about the early warning signs of a claim
  • Understand the claims management process
  • Learn about the management team that can support an advisor through a claim
  • Learn how to avoid making mistakes during the claims process


Format: Online learning & quiz

Pre-requisites: None

CE Credits: 1.5 CE (including 1 Ethics)

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

Additional Material: None

Completion Requirements:

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


  • Unlimited quiz attempts
  • One-month window for completion
  • Completion of all three Risk Management courses gives you access to a 5% discount on your E&O Insurance with Advocis Broker Services


  • 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: $20.00 plus taxes ($50 plus taxes for bundle of 3 Risk Management courses)

Non-members: $30.00 plus taxes ($75 plus taxes for bundle of 3 Risk Management courses)

  • All purchases are non-refundable
  • There are no cancellations or extensions
  • Expiry date is 30 days after registration
  • Allow for 1-2 business days to access the module following the registration and payment process
regnow1 regnow1

CYBER & PRIVACY LIABILITY-1.5 Ethics CE

Advisors collect huge amounts of personal information about their clients and are directly responsible for the protection of that information. This presentation focuses on key regulatory and legislative requirements relating to the collection and storage of personal information, what the rules and laws are regarding how you communicate with the public, the penalties and impact on a business when these rules are breached, and what advisors can do to protect themselves and their client information.

  • Learning Objectives
  • Overview
  • Features
  • Delivery
  • Price

  • Understand the key regulatory and legislative requirements relating to the collection and storage of personal information
  • Understand the rules and laws regarding how you communicate with the public and the penalties and impact when these rules are breached
  • Learn how advisors can protect themselves and their client information


Format: Online learning & quiz

Pre-requisites: None

CE Credits: 1.5 CE (including 1.5 ethics)

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

Additional Material: None

Completion Requirements:

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


  • Unlimited quiz attempts
  • One-month window for completion
  • Completion of all three Risk Management courses gives you access to a 5% discount on your E&O Insurance with Advocis Broker Services


  • 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: $20.00 plus taxes ($50 plus taxes for bundle of 3 Risk Management courses)

Non-members: $30.00 plus taxes ($75 plus taxes for bundle of 3 Risk Management courses)

  • All purchases are non-refundable
  • There are no cancellations or extensions
  • Expiry date is 30 days after registration
  • Allow for 1-2 business days to access the module following the registration and payment process
regnow1 regnow1