Course Outline
 

Course Title

  

Ethics and the Financial Advisor

Course Category

    Online
Target Audience  

Financial Advisors

Continuing Education

  

Advocis (formerly CAIFA & CAFP) (Approval number: CE6363)
IQPF (Approval number: IQPF02-02-0031 - Level 2)
Life Insurance Council of Manitoba
Insurance Councils of Saskatchewan
CMA - Continuous Professional Learning and Development (CPLD)
Chambre de la Sécurité Financière
IDA - Compliance/Professional Development
CA - Continuing Professional Development (CPD)

Prerequistes

   None
Objectives   This course examines some of the ethical dilemmas that financial services professionals face routinely in their work. It presents real cases where individuals have been disciplined for breaching the codes of professional conduct of their professional association. Issues are explored within the framework of CAIFA, CAFP, and CFP Board code of ethics. Learners participate in the disciplinary procedures and have the opportunity to assess facts in each case, and vote for the appropriate disciplinary sanctions. For the first time, CE learners will be able to share and compare their opinions with those of their online peers. Learners will also be able to review the true disciplinary sanctions imposed by the disciplinary committees for each case.
Subject by level  

Topics  

Misrepresentation or omission of facts, Conflict of interest, Confidentiality, Professional negligence, Disclosure of compensation/fees, Churning, Acting outside competence

 
Duration   4 credit hours
Time to comple the course  
Date  
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