| Course Title: |
Compliance 101 |
| Details: |
Being compliant can be a challenge for all members of the financial services industry. However, there is no excuse for not knowing! Being aware of the vast number of rules and regulations for which compliance is required is a must.
This Course provides a useful background on the subject, guidelines for compliant behaviour, plus details on how advisors can inadvertently "go wrong." Compliance 101 is essential CE. |
| Format: |
Downloadable PDF plus online exam |
| No. of Pages: |
n/a |
| Cost (PDF option): |
Course and exam @ $47.96  |
| Cost (Book option): |
Course and exam @ $47.96 + S/H |
| BC CE Credits: |
5.0 hours
|
| Alberta CE Credits: |
5.0 hours - Life
5.0 - A&S
|
| SK CE Credits: |
5.0 hours
|
| MB CE Credits: |
5.0 hours
|
| ON CE Credits: |
5.0 hours
|
| QC CE Credits: |
0 hour
|
| CFP™ |
5.0 verifiable
|
Shipping and Tax are extra.
* non-verifiable, verifiable: see CFP™ Continuing Education Guidelines at www.cfp-ca.org
|
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