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Continuing Education → Compliance / Business Conduct → CCO Edition

CCO Ed: Conflicts of Interest (CFR Part I) (LCI0C13)


Description
2.0 IIROC: Compliance 23-0181C
2.0 MFDA: Business Conduct 1000003136
2.0 Financial Services Regulatory Authority of Ontario: Life or A and S
2.0 Insurance Council of British Columbia: Life or A and S
2.0 Insurance Council of Manitoba: 1.0 Life and/or A and S (36027)
2.0 Insurance Councils of Saskatchewan: Life or A and S
2.0 CPA: 1.0 Verifiable Ethics CPD
2.0 CFA: 1.0 Standards, Ethics, Regulations
2.0 FP Canada: Financial Planning (8869)
2.0 Advocis: Structured Learning

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


Important to note:
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.

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: 2 MFDA CE Activity Cod...: 1000003136 IIROC: 2.0 IIROC: Compliance 23-0181C MFDA: 2.0 MFDA: Business Conduct 1000003136 FSRA: 2.0 Financial Services Regulatory Author... ICBC: 2.0 Insurance Council of British Columbi... ICS: 2.0 Insurance Councils of Saskatchewan: ... ICM: 2.0 Insurance Council of Manitoba: Life ... CFP / QAFP: 2.0 FP Canada: Financial Planning CIM / PFP: 2.0 CIM/PFP Compliance CFA: 2.0 CFA: Standards, Ethics, Regulations CPA: 2.0 CPA: Verifiable Ethics CPD Advocis: 2.0 Advocis: Structured Learning Law Society of ON: 2.0 Law Society of Ontario Substantive H...

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
  • You must complete the test "Final Quiz - COI: CCO Edition"
  • Leads to a certificate with a duration: Forever
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