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.
CIRO Cycle 10 accreditation is pending for all registration types (previously IIROC & MFDA). Please check back periodically for updated credit information.
Accreditation Details
Accreditation body
Competency
Credits
FP Canada
Professional Responsibility
--
Product Knowledge
--
Practice Management
--
Financial Planning
1.00
FSRA
Life and/or A&S
1.00
ICM
General Insurance
--
Life Insurance
1.00
Adjuster
--
ICBC
Accident and Sickness
--
General Insurance
--
Life Insurance
0.75
CIRO Cycle 10
Professional Development
--
Compliance
0.75
MFDA (2023-2025)
Professional Development
--
Business Conduct - Non-Ethics
--
Business Conduct - Ethics
0.75
Course Type:
Web Link
Passing Grade:
10/13 (77%)
