Compliance-Friendly Sales Conversations

By CE Corner

This course offers a practical, compliance-officer perspective on how to create clear, fair, and compliant sales communications when working with retail clients. 

Advisors will explore the regulatory framework governing sales practices throughout the financial ecosystem, from the fund manufacturers through to financial advisors, learn about ethical considerations during sales conversations, ESG and responsible investing communications, and practical strategies for aligning sales messages with compliance requirements. 

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.