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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

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 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 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 ETHICS 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 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 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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Anti-Money Laundering & Terrorist Financing- 1 Ethics CE

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

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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

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