10-Credit: ID (formerly IIROC) Cycle 10 Compliance (CM) Course Roster

ID CE Credits: 10 credits (Compliance)
Provincial Life Credits: 10 credits (BC, AB, SK, MB, ON)
Provincial A&S Credits: 3 credits (AB, SK, MB, ON)
CFP® Certificants: 10 credits (8 Financial Planning, 2 Professional Responsibility)
Institute Members: 7 credits (including 2 Ethics)
MFD Members: tba
General Credits: 3 credits (BC, AB, SK, MB, ON)
Adjuster Credits: 3 credits (AB)
One package fufills all Compliance credits for the ID CE Cycle 10 ending 31/12/25.

Investor Protection Principles
Provincial Life Credits: 7 credits (BC, AB, SK, MB, ON)
FP Canada Credits: 7 credits (5 Financial Planning, 2 Professional Responsibility)
Institute Members: 7 credits (includes 2 Ethics)
ID CE Credits: 7 credits (Compliance)
MFD Credits: tba

Investors deserve the best possible conduct and business practices by the participants in the investment industry. Protection of seniors and vulnerable clients is a particularly key priority. This focus does not eliminate the need for remaining investors to also be protected. This course delves into key principles of investor protection with details about:

  • The trusted contact person requirement;
  • The appropriate assessment of client risk;
  • Elimination of conflict of interest;
  • Market integrity;
  • The proper handling of complaints.
These subjects equip you with the knowledge to perform ethically and to the highest standard.
Manage and Resolve Conflict
Provincial Life Credits: 3 credits (BC, AB, SK, MB, ON)
Provincial A&S Credits: 3 credits (BC, AB, SK, MB, ON)
FP Canada Credits: 3 credits (Financial Planning)
ID CE Credits: 3 credits (Compliance)
MFD Credits: tba
General Credits: 3 credits (BC, AB, SK, MB, ON)
Adjuster Credits: 3 credits (BC, AB)
Freak out or steady as she goes? As you might expect, the manner in which you respond to conflict can establish and cement your reputation. Conflict is impossible to avoid but it can be managed. Further, it’s been shown that if you want to be a star performer, you learn to manage conflict.

  • Grow your business and earn a sterling reputation by learning how to manage and resolve conflict;
  • Increase managerial and client satisfaction by turning conflict into collaboration.

$149.95

$149.95