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Continuing Education → Compliance

Conflicts of Interest: CCO Edition (LCI0C13)


Description
FP Canada: 2.0 Financial Planning (#8869)
Insurance Council of Manitoba: 1.0 Life and/or A&S (#36027)

This course is for anyone that really needs to sink their teeth into the new Conflicts of Interest section of National Instruments (NI) 31-103: Registration Requirements, Exemptions and Ongoing Registrant Obligations.

Straight up. Technical. And completely built on the Companion Policy of Section 14.

#ClientFocusedReforms

CE Credits: 2.0 Accreditation Number: 8869 CE Credit Type: Compliance

Content
  • Audiobook
  • Audiobook - Conflicts of interest: Companion Policy
  • VIDEOBOOK
  • Conflicts of Interest (2:22)
  • Addressing material conflicts in the best interest of the client (1:46)
  • Conflict of interest controls (2:03)
  • Conflicts arising from proprietary products (3:49)
  • Conflicts arising from third-party compensation (3:49)
  • Internal compensation and incentive practices (3:54)
  • Conflicts of interest at the supervisory level (1:09)
  • Conflicts in fee-based accounts (0:50)
  • Addressing conflicts between clients (0:32)
  • Conflicts related to referral arrangements (1:35)
  • Full control or authority over the financial affairs of a client (0:38)
  • Individuals who serve on a board of directors (3:39)
  • Individuals who have outside business activities (6:20)
  • Registrants' responsibility to report and address material conflicts (1:40)
  • Disclosing conflicts of interest (5:24)
  • Examples of conflicts of interest disclosure (5:30)
  • Final Quiz
  • Final Quiz - COI: CCO Edition
Completion rules
  • All units must be completed
  • Leads to a certification with a duration: Forever
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