Understanding Client-Focused Reforms: A Review of Advisors' Obligations
By CE Corner
Daniel Kratochvil, chief compliance officer with Agora Dealer Services Corp., explains the client-focused reforms.
In this video, Kratochvil expands on the conflicts-related reforms as well as those related to KYC, KYP, suitability, and relationship disclosures. Using an advisor-centric viewpoint, he provides practical examples to consider for your practice.
In the opinion of CE Corner, the content of this session aligns with FSRA’s requirements for Life and Accident & Sickness credits. However, it remains the responsibility of the individual license holder to check FSRA credits and confirm suitability.
Accreditation Details
Accreditation body
Competency
Credits
FP Canada
Professional Responsibility
--
Product Knowledge
--
Practice Management
--
Financial Planning
1.00
IIROC Cycle 9
Compliance
0.75
Professional Development
--
MFDA
Business Conduct - Non-Ethics
0.75
Professional Development
--
FSRA
Life and/or A&S
1.00
ICM
General Insurance
--
Life Insurance
1.00
Adjuster
--
Insurance Council of BC
Accident and Sickness
--
General Insurance
--
Life Insurance
0.75
Course Type:
Web Link
Passing Grade:
10/13 (77%)
