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Continuing Education – Protection Matters
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
Unlock financial success with integrity. Our Making Choices series of continuing education courses will highlight the importance of Ethics in the financial services industry while helping you build a more responsible practice.
Compliance Toolkit
Navigating the complex landscape of financial regulations has never been more crucial. Our Compliance Toolkit series of courses is where knowledge meets compliance.
Professional Conduct
In the dynamic world of finance, integrity is not just a virtue; it’s a cornerstone of success. Our Knowing the Code of Professional Conduct course will equip you with the knowledge to ensure you meet all necessary benchmarks laid out in the Advocis Code of Professional Conduct.
Risk Management
Mitigate risks and maximize success with our Risk Management series of continuing education courses. From common mistakes made in the claims process to making sure you have the correct E&O coverage, our Risk Management series of courses will support you in ensuring your practice and your clients are adequately covered.
Making Choices
Making Choices I
$
15
+ applicable taxes for Advocis Members.
Non members pay $25 + applicable taxes.
Non members pay $25 + applicable taxes.
-
Understand the importance of Ethics in the financial services industry
-
One month window for completion
-
Unlimited quiz attempts
Making Choices I: Ethics and Professional Responsibility in Practice
1 Ethics CE Credit
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:
- 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%
- Completion of one online quiz (100% of overall mark)
- One month window for completion
- Unlimited 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 a quiz to assess their overall understanding.
Members: $15 plus taxes
Non-members: $25 plus taxes
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
Making Choices 2
$
15
+ applicable taxes for Advocis Members.
Non members pay $25 + applicable taxes.
Non members pay $25 + applicable taxes.
-
Become aware the FP Canada Standards of Professional Responsibility and how they help guide ethical behaviour
-
One month window for completion
-
Unlimited quiz attempts
Making Choices II: Ethics and Professional Responsibility in Practice
1 Ethics CE Credit
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:
- 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%
- Completion of one online quiz (100% of overall mark)
- One month window for completion
- Unlimited 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 a quiz to assess their overall understanding.
Members: $15 plus taxes
Non-members: $25 plus taxes
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
Making Choices 3
$
15
+ applicable taxes for Advocis Members.
Non members pay $25 + applicable taxes.
Non members pay $25 + applicable taxes.
-
Become aware the FP Canada Standards of Professional Responsibility and how they help guide ethical behaviour
-
One month window for completion
-
Unlimited quiz attempts
Making Choices III: Ethics and Professional Responsibility in Practice
1 Ethics CE Credit
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:
- 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%
- Completion of one online quiz (100% of overall mark)
- One month window for completion
- Unlimited 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 a quiz to assess their overall understanding.
Members: $15 plus taxes
Non-members: $25 plus taxes
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
Compliance Toolkit
Compliance Toolkit Bundle
$
125
+ applicable taxes for Advocis Members.
Non members pay $200 + applicable taxes.
Non members pay $200 + applicable taxes.
-
Communicate with your clients using honest and transparent content that reflects applicable compliance and regulatory consideration
-
One year window for completion
-
Unlimited quiz attempts
Compliance Toolkit Bundle
6 Ethics CE credits
This is a bundle of the 3 Compliance Toolkit courses
- Marketing and Communications
- Know Your Product and Suitability
- Know Your Client and Fact-Finding
These course will help you navigate the complex landscape of financial regulations.
Marketing and Communications
$
50
+ applicable taxes for Advocis Members.
Non members pay $75 + applicable taxes.
Non members pay $75 + applicable taxes.
-
Market yourself honestly and accurately while avoiding conflicts of interest
-
One year window for completion
-
Unlimited quiz attempts
Marketing and Communications
2 Ethics CE Credits
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:
- Communicate with and market to your clients and prospective clients using honest and transparent content that reflects applicable compliance and regulatory considerations.
- Market yourself honestly and accurately while avoiding conflicts of interest.
- Manage business relationships in accordance with ethics and compliance considerations.
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:
- Passing mark is 60%
- Completion of quiz (100% of overall mark)
- Unlimited quiz attempts
- One-year window for completion
- 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 a quiz to assess their overall understanding.
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:
- All purchases are non-refundable
- There are no cancellations or extensions
- Allow for 1-2 business days to access the module following the registration and payment process
Know Your Client and Fact-Finding
$
50
+ applicable taxes for Advocis Members.
Non members pay $75 + applicable taxes.
Non members pay $75 + applicable taxes.
-
Market yourself honestly and accurately while avoiding conflicts of interest
-
One year window for completion
-
Unlimited quiz attempts
Know Your Client and Fact-Finding
2 Ethics CE Credits
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:
- Understand fact-finding and the Know-Your-Client (KYC) rule, and why these concepts are important to your role as an advisor.
- Gather the information you need from clients in order to satisfy company policies, meet your duties at common law and adhere to regulatory requirements.
- Apply the information you have gathered from clients to help them meet their goals, while being aware of rules preventing insider trading and fulfilling anti-money laundering (AML) obligations.
- Manage the information you have obtained from clients in terms of updates and material changes; obtaining consent; storing information in compliance with privacy laws, including preventing a data breach; and protecting yourself against legal claims.
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:
- Passing mark is 60%
- Completion of quiz (100% of overall mark)
- Unlimited quiz attempts
- One-year window for completion
- 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 a quiz to assess their overall understanding.
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:
- All purchases are non-refundable
- There are no cancellations or extensions
- Allow for 1-2 business days to access the module following the registration and payment process
Know Your Product and Suitability
$
50
+ applicable taxes for Advocis Members.
Non members pay $75 + applicable taxes.
Non members pay $75 + applicable taxes.
-
Market yourself honestly and accurately while avoiding conflicts of interest
-
One year window for completion
-
Unlimited quiz attempts
Know Your Product and Suitability
2 Ethics CE Credits
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:
- Understand the role of KYP.
- Know what a suitability determination is.
- Stay up-to-date with regulatory requirements and relevant disciplinary decisions.
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:
- Passing mark is 60%
- Completion of quiz (100% of overall mark)
- Unlimited quiz attempts
- One-year window for completion
- 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 a quiz to assess their overall understanding.
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:
- All purchases are non-refundable
- There are no cancellations or extensions
- Allow for 1-2 business days to access the module following the registration and payment process
Professional Conduct
Knowing the Code of Professional Conduct
$
0
for Advocis Members.
Unavailable for Non-members
Unavailable for Non-members
-
Only available to Advocis members
-
Unlimited access to content for 30 days
-
Unlimited quiz attempts
Knowing the Code of Professional Conduct
1 Ethics CE credits
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:
- 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 & 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:
- Watch Knowing the Code of Professional Conduct video & complete assessment
- Unlimited access to content for 30 days
- Unlimited quiz attempts
- 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 a quiz to assess their overall understanding.
Members: Included with membership
Non-members: Not available
Risk Management
Risk Management Bundle
$
100
+ applicable taxes for Advocis Members.
Non members pay $125 + applicable taxes.
Non members pay $125 + applicable taxes.
-
Learn to mitigate risks and maximize success
-
One year window for completion
-
Unlimited quiz attempts
Risk Management Bundle
9 Ethics CE Credits
This is a bundle of the 6 Risk Management continuing education courses:
- The Value of Errors and Omissions Insurance
- From Bad to Worse: Advisor Mistakes in the Claims Process
- Cyber & Privacy Liability
- Building a Protected Practice
- Selecting the Right E&O Insurance
- The Challenge of Documenting Nothing.
These courses will help you mitigate risks and maximize success by ensuring you know what E&O coverage is right for you and other common pitfalls advisors are sure to face.
The Value of Errors and Omissions Insurance
$
20
+ applicable taxes for Advocis Members.
Non members pay $30 + applicable taxes.
Non members pay $30 + applicable taxes.
-
The Value of Errors and Omissions Insurance
-
One-month window for completion
-
Unlimited quiz attempts
The Value of Errors and Omissions Insurance
1.5 Ethics CE Credits
This course 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 course encourages advisors to take a risk management approach to their coverage and not view E&O insurance simply as a method of regulatory compliance.
- 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
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 a quiz to assess their overall understanding.
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:
- 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
From Bad to Worse: Advisor Mistakes in the Claims Process
$
20
+ applicable taxes for Advocis Members.
Non members pay $30 + applicable taxes.
Non members pay $30 + applicable taxes.
-
Learn about the early warning signs of a claim
-
One-month window for completion
-
Unlimited quiz attempts
From Bad to Worse: Advisor Mistakes in the Claims Process
1.5 Ethics CE Credits
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.
- 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 processy
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 a quiz to assess their overall understanding.
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:
- 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
Cyber & Privacy Liability
$
20
+ applicable taxes for Advocis Members.
Non members pay $30 + applicable taxes.
Non members pay $30 + applicable taxes.
-
Understand the key regulatory and legislative requirements relating to the collection and storage of personal information
-
One-month window for completion
-
Unlimited quiz attempts
Cyber & Privacy Liability
1.5 Ethics CE Credits
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.
- 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 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 a quiz to assess their overall understanding.
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:
- 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
Building a Protected Practice
$
20
+ applicable taxes for Advocis Members.
Non members pay $30 + applicable taxes.
Non members pay $30 + applicable taxes.
-
Understand how to build and sustain a practice which is compliant with legislation and protected from liability
-
One-month window for completion
-
Unlimited quiz attempts
Building a Protected Practice
1.5 Ethics CE Credits
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.
- Provide an understanding of how to build and sustain a practice which is compliant with legislation and protected from liability.
- Explore how to communicate well with prior, current and prospective clients.
- Understand legislation applicable to financial advisors, including PIPEDA, CASL and CRM-2.
- Learn how to collect, store and protect the personal information given to them from their clients.
- Outlines the penalties and impact on a business when the rules are breached.
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:
- Watch the video and complete the survey and the online quiz
- A mark of 60% is required to pass and candidates are allowed unlimited attempts.
- 24/7 access to the Advocis Learning Centre
- One-month window for completion
- Successful candidates are eligible for a 5% discount on their E&O insurance through Advocis Broker Services when they complete three of the Risk Management courses.
- 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 a quiz to assess their overall understanding.
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:
- 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
Selecting the Right E&O Insurance
$
20
+ applicable taxes for Advocis Members.
Non members pay $30 + applicable taxes.
Non members pay $30 + applicable taxes.
-
Understand E&O insurance and key terms, definitions, conditions and exclusions on E&O policies
-
One-month window for completion
-
Unlimited quiz attempts
Selecting the Right E&O Insurance
1.5 Ethics CE Credits
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.
- Provide an understanding of E&O insurance and key terms, definitions, conditions and exclusions on E&O policies.
- Understand how to determine the right type and amount of coverage based on your specific business.
- Understand the difference between the perceived value and the real value of E&O insurance.
- Learn the risks associated with a lapse in coverage and remedies.
- Understand the extended reporting period coverage and how it works, vicarious liability, and how to broaden 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:
- Watch the video and complete the survey and the online quiz
- a mark of 60% is required to pass and candidates are allowed unlimited attempts.
- 24/7 access to the Advocis Learning Centre
- One-month window for completion
- Successful candidates are eligible for a 5% discount on their E&O insurance through Advocis Broker Services when they complete three of the Risk Management courses.
- Online self-study: A video, survey and quiz.
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:
- All purchases are non-refundable
- There are no cancellations or extensions
- Allow for 1-2 business days to access the module following the registration and payment process
The Challenge of Documenting Nothing
$
20
+ applicable taxes for Advocis Members.
Non members pay $30 + applicable taxes.
Non members pay $30 + applicable taxes.
-
Understand how to properly create and keep records
-
One-month window for completion
-
Unlimited quiz attempts
The Challenge of Documenting Nothing
1.5 Ethics CE Credits
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.
- Provide an understanding of what to do when clients do not communicate with their financial advisor.
- Understand how to properly create and keep records.
- Learn about the financial advisor’s liability for records, their regulatory requirements, how to manage records and the importance of records during the claims process.
- Understand how to properly protect the huge amounts of personal information collected by financial advisors from their clients.
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:
- Watch the video and complete the survey and the online quiz
- A mark of 60% is required to pass and candidates are allowed unlimited attempts.
- 24/7 access to the Advocis Learning Centre
- One-month window for completion
- Successful candidates are eligible for a 5% discount on their E&O insurance through Advocis Broker Services when they complete three of the Risk Management courses.
- Online self-study: A video, survey and quiz.
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:
- All purchases are non-refundable
- There are no cancellations or extensions
- Allow for 1-2 business days to access the module following the registration and payment process