Investment Funds Sales Practices

By Harvest Portfolios Group

Topical and relevant. Understand more about Investment Fund Sales Practices regarding compliance for Promotional Items and Business Promotion Activities from the Investment Fund Manager Perspective. Earn a Compliance CE credit while learning how Investment Fund Managers address and adhere to Investment Fund Sales Practices when working with Investment Advisors and their Investment Dealerships.

Agenda:

  • Introduction & Overview
  • Rules for Sales Practices : Promotional Items & Business Promotion Activities
    Current Environment
  • How the Rules are established for an IFM/PM
  • How an IFM/PM engages the Rules
  • Practical Examples from the IFM/PM perspective
  • Q & A

Investment Funds Sales Practices

Accreditation Details

Accreditation body
Competency
Credits

IIROC

Compliance

1.00

Professional Development

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Course Type:

Video

Passing Grade:

8/10 (80%)

Categories:

Brought to you by:

  • ADVISOR'S EDGE
  • CONSEILLER
  • Benefits Canada
  • Avantages
  • IE (Investment Executive)
  • FI (FINANCE ET INVESTMENT)