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 module provided below breaks down guidelines for best practices and elements for compliance.
CFP® Professionals and FPSC Level 1® Certificants 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: $15.00 plus taxes
Non-members: $25.00 plus taxes
Administrative Policies:
CFP® Professionals and FPSC Level 1® Certificants 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, applicable either to the Professional Responsibility category or to the Financial Planning category
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: $15.00 plus taxes
Non-members: $25.00 plus taxes
Administrative Policies:
CFP® Professionals and FPSC Level 1® Certificants in Financial Planning must meet FP Canada's Professional Responsibility continuing education requirement.
Making Choices III: 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: 1.5 CE (includes 1 Ethics), applicable either to the Professional Responsibility category or to the Financial Planning category
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: $15.00 plus taxes
Non-members: $25.00 plus taxes
Administrative Policies:
NEW VERSION COMING SOON
Please note that this module is currently being updated and a new version will be released soon. Access to the module is temporarily unavailable.
Financial advisors in the insurance and securities industry will learn anti-money laundering and terrorist financing basics; Canadian regulations and the offences and penalties for non-compliance; and ways to implement and adhere to your customized compliance regime, including recordkeeping obligations and timelines. This one-hour CE session assists financial advisors in understanding the requirements mandated under the Proceeds of Crime (Money Laundering) and Terrorist Financing Act (PCMLTFA).
Note: This module is only available to Advocis members.
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
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 & assessment
Pre-requisites: None
CE Credits: 1.0 Institute accredited Ethics credit
Note: Please check with your jurisdiction, designation body or professional association regarding their continuing education requirements.
Additional Material: None
Completion Requirements:
Members: Included with membership
Non-members: $25.00
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.
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 ($50 plus taxes for bundle of 3 Risk Management courses)
Non-members: $30.00 plus taxes ($75 plus taxes for bundle of 3 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 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 ($50 plus taxes for bundle of 3 Risk Management courses)
Non-members: $30.00 plus taxes ($75 plus taxes for bundle of 3 Risk Management courses)
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 1.5 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 ($50 plus taxes for bundle of 3 Risk Management courses)
Non-members: $30.00 plus taxes ($75 plus taxes for bundle of 3 Risk Management courses)
