Continuing Education → Globe Advisor

Disclosure, Conflicts and Promotional Items (LCIFGA003)

1.0 IIROC: Professional Development
1.0 MFDA: Professional Development (7779)
1.0 Alberta Accreditation Committee: 1.0 Life (55277)
1.0 Financial Services Regulatory Authority of Ontario: Life or A&S
1.0 Insurance Council of British Columbia: Life or A&S
1.0 Insurance Council of Manitoba: 1.0 Life or A&S (36259)
1.0 Insurance Councils of Saskatchewan: Life or A&S
1.0 CPA: 1.0 Verifiable CPD
1.0 CFA: 1.0 Professional Learning
1.0 FP Canada: Practice Management (7779)
1.0 Advocis: Structured Learning

Transparency has been a cornerstone of regulatory reform in the financial services industry. As new regulatory changes are implemented, financial professionals will need practical advice on how to build a profitable practice in a new era of transparency, which we explore in this 10-part mini-series. The course concludes with a final test. A passing grade of at least 60% is required.

This CE activity has been approved by FP Canada as meeting the minimum requirements for CE Approval as outlined within the FP Canada Continuing Education Guidelines. The views and opinions expressed in this presentation are those of the presenter / content author and do not necessarily reflect the views of FP Canada.

CE Credits: 1.0 CE Credit Type: Professional Development

  • Advisors provide value, majority of clients say in survey
  • Are advisors acting in clients' best interests? The tussle over terminology
  • Investment industry prepares for incoming client-focused reforms
  • Simpler financial statements can help investors make better decisions: research
  • Why it’s important for clients to understand your compensation model
  • How to start a conversation with clients on fees
  • Quantifying the value advisors provide
  • Holiday gift-giving tradition evolving in the financial services industry
  • New guideline limits mutual fund companies’ promotional spending on advisors
  • Will diluted ‘best interest’ rules doom us to unaffordable old age?
  • Can we get your feedback?
  • Globe Advisor Survey
  • Final Quiz
  • Final Quiz - Disclosure, Conflicts and Promotional Items
Completion rules
  • All units must be completed
  • Leads to a certification with a duration: Forever