Compliance Update for Advisors - Part I

By BMO Global Asset Management

Keeping up with regulatory developments can be challenging if you’re not a compliance professional. Furthermore, what likely matters most to you is how the changes affect your practice and how you serve clients — not the arcane text of a new rule.

With that in mind, Advisor’s Edge and Investment Executive have prepared this e-book to help you keep abreast of recent regulatory developments and keep on top of suitability issues. This collection includes 10 relevant articles from our archives that will help you understand the compliance topics most important to advisors.

And make sure to read Compliance Update for Advisors: Part II for even more important background information.

Compliance Update for Advisors - Part I

Accreditation Details

Accreditation body
Competency
Credits

IIROC Cycle 8

Professional Development

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Compliance

0.75

Course Type:

PDF

Passing Grade:

10/12 (83%)

Categories:

Brought to you by:

  • ADVISOR'S EDGE
  • CONSEILLER
  • IE (Investment Executive)
  • FI (FINANCE ET INVESTMENT)
  • CANADIAN INDERWRITER