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Home Continuing Education – Protection Matters
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 modules provided below breaks down guidelines for best practices and elements for compliance.
Making Choices
Compliance Toolkit (Also Available as Bundle)
Professional Conduct
Risk Management (Also Available as Bundle)
CFP® Professionals and QAFP™ Professionals 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.
Upon successful completion of this module, you will:
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:
Members: $15 plus taxes
Non-members: $25 plus taxes
Administrative Policies:
CFP® Professionals and QAFP™ Professionals 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.
Upon successful completion of this module, you will:
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:
Members: $15 plus taxes
Non-members: $25 plus taxes
Administrative Policies:
CFP® Professionals and QAFP™ Professionals 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.
Upon successful completion of this module, you will:
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:
Members: $15 plus taxes
Non-members: $25 plus taxes
Administrative Policies:
As a financial advisor, you must be aware of and understand the rules and regulations you will need to follow to ensure your marketing and communications initiatives are fully compliant.
Upon successful completion of this module, you will be able to:
Format: Online learning & quiz
Pre-requisites: None
CE Credits: 2 Ethics CE
Note: Please check with your jurisdiction, designating body or professional association regarding their CE requirements.
Additional Material: None
Completion Requirements:
Members: $50.00 plus shipping & taxes ($125 plus taxes for bundle of 3 Compliance Toolkit courses)
Non-members: $75.00 plus shipping & taxes ($200 plus taxes for bundle of 3 Compliance Toolkit courses)
Administrative Policies:
The fact-finding process is an important part of providing effective service to your clients and can also help you reduce your personal liability. You need to be aware of and comply with all regulatory requirements, industry standards and practices that pertain to fact-finding, including when the Know Your Client (KYC) rule applies.
Upon successful completion of this module, you will be able to:
Format: Online learning & quiz
Pre-requisites: None
CE Credits: 2 CE (Including 2 ethics)
Note: Please check with your jurisdiction, designating body or professional association regarding their CE requirements.
Additional Material: None
Completion Requirements:
Members: $50.00 plus shipping & taxes ($125 plus taxes for bundle of 3 Compliance Toolkit courses)
Non-members: $75.00 plus shipping & taxes ($200 plus taxes for bundle of 3 Compliance Toolkit courses)
Administrative Policies:
Advisors are unable to properly serve their clients unless they have the competencies to evaluate a client’s needs and understand various financial products. They must also have the ability to properly identify the products that best suit a client’s need. In this course, we focus on Know Your Product (KYP) and suitability, which require that an advisor use both the KYC and KYP processes to provide suitable recommendations that best meet a client’s needs.
Upon successful completion of this module, you will be able to:
Format: Online learning & quiz
Pre-requisites: None
CE Credits: 2 CE (Including 2 ethics)
Note: Please check with your jurisdiction, designating body or professional association regarding their CE requirements.
Additional Material: None
Completion Requirements:
Members: $50.00 plus shipping & taxes ($125 plus taxes for bundle of 3 Compliance Toolkit courses)
Non-members: $75.00 plus shipping & taxes ($200 plus taxes for bundle of 3 Compliance Toolkit courses)
Administrative Policies:
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.
Upon completion of Knowing the Code of Professional Conduct, you will be able to:
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:
Members: Included with membership
Non-members: Not available
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.
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:
Members: $20.00 plus taxes ($100 plus taxes for bundle of 6 Risk Management courses)
Non-members: $30.00 plus taxes ($125 plus taxes for bundle of 6 Risk Management courses)
Administrative Policies:
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.
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:
Members: $20.00 plus taxes ($100 plus taxes for bundle of 6 Risk Management courses)
Non-members: $30.00 plus taxes ($125 plus taxes for bundle of 6 Risk Management courses)
Administrative Policies:
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.
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:
Members: $20.00 plus taxes ($100 plus taxes for bundle of 6 Risk Management courses)
Non-members: $30.00 plus taxes ($125 plus taxes for bundle of 6 Risk Management courses)
Administrative Policies:
Building a Protected Practice gives advisors the information they need to build and sustain a practice which is compliant with regulation and protected from liability. This course reviews the legislation applicable to financial advisors: PIPEDA., CASL., and CRM-2, and explains how financial advisors can communicate with prior, current, and prospective clients. Building a Protected Practice also explains how financial advisors can collect, store and protect the personal information they are given from their clients and outlines the penalties and impact on a business when the rules are breached. Most importantly it gives advisors the tools to protect themselves and their business.
Format: Online learning and assessment
Pre-requisites: None
CE Credits: 1.5 Institute accredited CE credits (including 1.5 Ethics)
Additional Material: None
Completion Requirements:
Members: $20.00 plus taxes ($100 plus taxes for bundle of 6 Risk Management courses)
Non-members: $30.00 plus taxes ($125 plus taxes for bundle of 6 Risk Management courses)
Administrative Policies:
How does a financial advisor determine the correct amount of coverage? Is there a difference in the policies available? What is the difference between claims made versus occurrence policies? This course shows financial advisors the difference between the perceived value versus the real value of E&O Insurance, explains the regulatory minimums, and then shows financial advisors how to assess their own needs based on their practice and how to choose the right E&O. The course also explores what is covered, key terms and conditions and exclusions, lapses, the risks associated with a lapse, and remedies. Selecting the Right E&O Insurance explains what extended reporting period coverage is and how it works, vicarious liability and how to broaden your coverage with corporate E&O.
Format: Online learning and assessment
Pre-requisites: None
CE Credits: 1.5 Institute accredited CE credits (including 1.5 Ethics)
Additional Material: None
Completion Requirements:
Members: $20.00 plus taxes ($100 plus taxes for bundle of 6 Risk Management courses)
Non-members: $30.00 plus taxes ($125 plus taxes for bundle of 6 Risk Management courses)
Administrative Policies:
It is easy to document actual meetings, the challenge is to document when nothing actually happens. Can a financial advisor be held accountable for unreturned phone calls and returned mail? Yes! This course reviews what to do when you have clients who do not respond to your communication, how to create and properly keep records (electronic or paper), a financial advisor’s liability for records, regulatory requirements, how to manage records and the importance of records during the claims process.
Format: Online learning and assessment
Pre-requisites: None
CE Credits: 1.5 Institute accredited CE credits (including 1.5 Ethics)
Additional Material: None
Completion Requirements:
Members: $20.00 plus taxes ($100 plus taxes for bundle of 6 Risk Management courses)
Non-members: $30.00 plus taxes ($125 plus taxes for bundle of 6 Risk Management courses)
Administrative Policies:
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