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CFR Part III: RA, RDI, MC, OAs and PoIs (LCIC021)


Description
1.5 IIROC: Compliance (24-0596C)
1.5 MFDA: Business Conduct 1000003138
1.5 Insurance Council of Manitoba: Life or A&S (41147)
1.5 Financial Services Regulatory Authority of Ontario: Life or A&S
1.5 Insurance Council of British Columbia: Life or A&S
1.5 Insurance Councils of Saskatchewan: Life or A&S
1.5 CPA: Verifiable Ethics CPD
1.5 CFA: Standards, Ethics, Regulations
1.5 Law Society of Ontario Substantive Hours
1.5 Advocis Structured Learning
1.5 CIM/PFP Compliance


In the continuing saga of Client Focused Reforms, Part III of the training series covers:

Referral Arrangements (RA)
Relationship Disclosure Information (RDI)
Misleading Communications (MC)
Outside Activities (OAs)
Positions of Influence (PoIs)

Note - This is one part of our four-part training series: Client Focused Reforms.

The accreditations with accompanying ID numbers have been approved and issued by the regulatory organization. The accreditations without ID numbers are additional regulatory organization's continuing education (CE) credit(s) that Learnedly believes the course satisfies.

CE Credits: 1.5 MFDA CE Activity Cod...: 1000003138 IIROC: 1.5 IIROC: Compliance (24-0596C) MFDA: 1.5 MFDA: Business Conduct 1000003138 FSRA: 1.5 Financial Services Regulatory Author... ICBC: 1.5 Insurance Council of British Columbi... ICS: 1.5 Insurance Councils of Saskatchewan: ... ICM: 1.5 Insurance Council of Manitoba: Life ... CFP / QAFP: 1.5 FP Canada: Financial Planning CIM / PFP: 1.5 CIM/PFP Compliance CFA: 1.5 CFA: Standards, Ethics, Regulations CPA: 1.5 CPA: Verifiable Ethics CPD Advocis: 1.5 Advocis Structured Learning Law Society of ON: 1.5 Law Society of Ontario Substantive H...

Content
  • RA, RDI, and Misleading Communications
  • Referral arrangements (9:35)
  • Misleading communications (5:09)
  • Relationship disclosure information (10.41)
  • Disclosure of conflict of interest (8:07)
  • Quiz: RA, RDI, and Misleading Communications
  • Outside Activities and Positions of Influence
  • Firm oversight of outside activities (1:24)
  • Conflicts and risks from outside activities (5:35)
  • Monitoring and supervising outside activities (7:34)
  • Individuals in a position of influence (11:50)
  • Quiz - OAs and PoIs
Completion rules
  • All units must be completed
  • Leads to a certificate with a duration: Forever
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