Conflict of Interest

This presentation reviews what is considered a conflict of interest; industry and regulatory requirements and expectations; how conflicts can arise and how to avoid and manage conflicts of interest.
1 CE/PDU Credit

Presented by Distribution Practices

Reporting Requirements

This presentation reviews some of the reporting obligations that advisors have as part of their compliance responsibilities. This includes reporting obligations to FINTRAC, Privacy Commissioners, the regulators, E&O carriers, insurance carriers and MGA.
1 CE/PDU Credit

Presented by Distribution Practices

Customer Communication

The Customer Communication presentation is focused on the compliance elements for customer communication. Having good communication with customers is a vital part of an advisor’s role. Throughout the presentation, we will go over some of the key communication areas advisors should be having with customers and the compliance requirements associated with the different types of communication.
1 CE/PDU Credit

Presented by Distribution Practices