Continuing Education – Protection Matters

At Advocis we recognize your practice is one of your most valuable assets. There's always the possibility it can be a target of fraud, and we want to provide information so you can take proper steps to avoid such threats. Our modules offer key indicators to determine any reasonable grounds for suspicion.

Advisors have a role to observe the highest standards of conduct to retain the trust, respect, and confidence of colleagues and members of the public. The module provided below breaks down guidelines for best practices and elements for compliance.

Modules

Making Choices I: Ethics and Professional Responsibility in Practice (1 CE)

CFP® Professionals and FPSC Level 1® Certificants in Financial Planning must meet FP Canada's Professional Responsibility continuing education requirement.

Making Choices: Ethics and Professional Responsibility in Practice reviews the FP Canada Standards of Professional Responsibility and through the completion of three case studies, the learner is able to put into practice the knowledge gained through the review.

1Learning Objectives

Upon successful completion of this module, you will:

  • Understand the importance of Ethics in the financial services industry.
  • Become aware the FP Canada Standards of Professional Responsibility and how they help guide ethical behaviour.
  • Understand how to apply the FP Canada Standards of Professional Responsibility to real life situations.
2Overview

Format: Online learning & quiz

Pre-requisites: None

CE Credits: 1 Ethics CE

Note: Please check with your jurisdiction, designating body or professional association regarding their CE requirements.

Additional Material: Download and review the Standards of Professional Responsibility from FP Canada's website (fpcanada.ca)

Completion Requirements:

  • Passing mark is 60%
  • Completion of one online quiz (100% of overall mark)
3Features
  • One month window for completion
  • Two quiz attempts
  • Download content
4Delivery
  • Self-study: The Advocis online modules are designed as self-study, with success highly dependent on the student's personal discipline. Students are presented with learning content and a quiz to assess their overall understanding.
5Price

Members: $15.00 plus shipping & taxes

Non-members: $25.00 plus shipping & taxes

Administrative Policies:

  • All purchases are non-refundable
  • There are no cancellations or extensions
  • Expiry date is 30 days after registration
  • Students must re-purchase after 2 unsuccessful attempts
  • Allow for 1-2 business days to access the module following the registration and payment process

Making Choices II: Ethics and Professional Responsibility in Practice (1 CE)

CFP® Professionals and FPSC Level 1® Certificants in Financial Planning must meet FP Canada's Professional Responsibility continuing education requirement.

Making Choices: Ethics and Professional Responsibility in Practice reviews the FP Canada Standards of Professional Responsibility and through the completion of three case studies, the learner is able to put into practice the knowledge gained through the review.

1Learning Objectives

Upon successful completion of this module, you will:

  • Understand the importance of Ethics in the financial services industry.
  • Become aware the FP Canada Standards of Professional Responsibility and how they help guide ethical behaviour.
  • Understand how to apply the FP Canada Standards of Professional Responsibility to real life situations.
2Overview

Format: Online learning & quiz

Pre-requisites: None

CE Credits: 1 Ethics CE

Note: Please check with your jurisdiction, designating body or professional association regarding their CE requirements.

Additional Material: Download and review the Standards of Professional Responsibility from FP Canada's website (fpcanada.ca)

Completion Requirements:

  • Passing mark is 60%
  • Completion of one online quiz (100% of overall mark)
3Features
  • One month window for completion
  • Two quiz attempts
  • Download content
4Delivery
  • Self-study: The Advocis online modules are designed as self-study, with success highly dependent on the student's personal discipline. Students are presented with learning content and a quiz to assess their overall understanding.
5Price

Members: $15.00 plus shipping & taxes

Non-members: $25.00 plus shipping & taxes

Administrative Policies:

  • All purchases are non-refundable
  • There are no cancellations or extensions
  • Expiry date is 30 days after registration
  • Students must re-purchase after 2 unsuccessful attempts
  • Allow for 1-2 business days to access the module following the registration and payment process

Making Choices III: Ethics and Professional Responsibility in Practice (1 CE)

CFP® Professionals and FPSC Level 1® Certificants in Financial Planning must meet FP Canada's Professional Responsibility continuing education requirement.

Making Choices: Ethics and Professional Responsibility in Practice reviews the FP Canada Standards of Professional Responsibility and through the completion of three case studies, the learner is able to put into practice the knowledge gained through the review.

1Learning Objectives

Upon successful completion of this module, you will:

  • Understand the importance of Ethics in the financial services industry.
  • Become aware the FP Canada Standards of Professional Responsibility and how they help guide ethical behaviour.
  • Understand how to apply the FP Canada Standards of Professional Responsibility to real life situations.
2Overview

Format: Online learning & quiz

Pre-requisites: None

CE Credits: 1 Ethics CE

Note: Please check with your jurisdiction, designating body or professional association regarding their CE requirements.

Additional Material: Download and review the Standards of Professional Responsibility from FP Canada's website (fpcanada.ca)

Completion Requirements:

  • Passing mark is 60%
  • Completion of one online quiz (100% of overall mark)
3Features
  • One month window for completion
  • Two quiz attempts
  • Download content
4Delivery
  • Self-study: The Advocis online modules are designed as self-study, with success highly dependent on the student's personal discipline. Students are presented with learning content and a quiz to assess their overall understanding.
5Price

Members: $15.00 plus shipping & taxes

Non-members: $25.00 plus shipping & taxes

Administrative Policies:

  • All purchases are non-refundable
  • There are no cancellations or extensions
  • Expiry date is 30 days after registration
  • Students must re-purchase after 2 unsuccessful attempts
  • Allow for 1-2 business days to access the module following the registration and payment process

Compliance Toolkit: Marketing and Communications (2 Ethics CE)

As a financial advisor, you must be aware of and understand the rules and regulations you will need to follow to ensure your marketing and communications initiatives are fully compliant.

1Learning Objectives

Upon successful completion of this module, you will be able to:

  • Communicate with and market to your clients and prospective clients using honest and transparent content that reflects applicable compliance and regulatory considerations.
  • Market yourself honestly and accurately while avoiding conflicts of interest.
  • Manage business relationships in accordance with ethics and compliance considerations.
2Overview

Format: Online learning & quiz

Pre-requisites: None

CE Credits: 2 Ethics CE

Note: Please check with your jurisdiction, designating body or professional association regarding their CE requirements.

Additional Material: None

Completion Requirements:

  • Passing mark is 60%
  • Completion of quiz (100% of overall mark)
3Features
  • Two quiz attempts
  • One-year window for completion
4Delivery
  • Self-study: The Advocis online modules are designed as self-study, with success highly dependent on the student's personal discipline. Students are presented with learning content and a quiz to assess their overall understanding.
5Price

Members: $50.00 plus shipping & taxes ($125 plus taxes for bundle of 3 Compliance Toolkit courses)

Non-members: $75.00 plus shipping & taxes ($200 plus taxes for bundle of 3 Compliance Toolkit courses)

Administrative Policies:

  • All purchases are non-refundable
  • There are no cancellations or extensions
  • Allow for 1-2 business days to access the module following the registration and payment process

Compliance Toolkit: Fact-Finding and Know-Your-Client – 2 ETHICS CE

The fact-finding process is an important part of providing effective service to your clients and can also help you reduce your personal liability. You need to be aware of and comply with all regulatory requirements, industry standards and practices that pertain to fact-finding, including when the Know-Your-Client (KYC) rule applies.

1Learning Objectives

Upon successful completion of this module, you will be able to:

  • Understand fact-finding and the Know-Your-Client (KYC) rule, and why these concepts are important to your role as an advisor.
  • Gather the information you need from clients in order to satisfy company policies, meet your duties at common law and adhere to regulatory requirements.
  • Apply the information you have gathered from clients to help them meet their goals, while being aware of rules preventing insider trading and fulfilling anti-money laundering (AML) obligations.
  • Manage the information you have obtained from clients in terms of updates and material changes; obtaining consent; storing information in compliance with privacy laws, including preventing a data breach; and protecting yourself against legal claims.
2Overview

Format: Online learning & quiz

Pre-requisites: None

CE Credits: 2 CE (Including 2 ethics)

Note: Please check with your jurisdiction, designating body or professional association regarding their CE requirements.

Additional Material: None

Completion Requirements:

  • Passing mark is 60%
  • Completion of quiz (100% of overall mark)
3Features
  • Two quiz attempts
  • One-year window for completion
4Delivery
  • Self-study: The Advocis online modules are designed as self-study, with success highly dependent on the student's personal discipline. Students are presented with learning content and a quiz to assess their overall understanding.
5Price

Members: $50.00 plus shipping & taxes ($125 plus taxes for bundle of 3 Compliance Toolkit courses)

Non-members: $75.00 plus shipping & taxes ($200 plus taxes for bundle of 3 Compliance Toolkit courses)

Administrative Policies:

  • All purchases are non-refundable
  • There are no cancellations or extensions
  • Allow for 1-2 business days to access the module following the registration and payment process

Compliance Toolkit: Know-Your-Product and Suitability – 2 ETHICS CE

Advisors are unable to properly serve their clients unless they have the competencies to evaluate a client’s needs and understand various financial products. They must also have the ability to properly identify the products that best suit a client’s need. In this course, we focus on Know Your Product (KYP) and suitability, which require that an advisor use both the KYC and KYP processes to provide suitable recommendations that best meet a client’s needs.

1Learning Objectives

Upon successful completion of this module, you will be able to:

  • Understand the role of KYP.
  • Know what a suitability determination is.
  • Stay up-to-date with regulatory requirements and relevant disciplinary decisions.
2Overview

Format: Online learning & quiz

Pre-requisites: None

CE Credits: 2 CE (Including 2 ethics)

Note: Please check with your jurisdiction, designating body or professional association regarding their CE requirements.

Additional Material: None

Completion Requirements:

  • Passing mark is 60%
  • Completion of quiz (100% of overall mark)
3Features
  • Two quiz attempts
  • One-year window for completion
4Delivery
  • Self-study: The Advocis online modules are designed as self-study, with success highly dependent on the student's personal discipline. Students are presented with learning content and a quiz to assess their overall understanding.
5Price

Members: $50.00 plus shipping & taxes ($125 plus taxes for bundle of 3 Compliance Toolkit courses)

Non-members: $75.00 plus shipping & taxes ($200 plus taxes for bundle of 3 Compliance Toolkit courses)

Administrative Policies:

  • All purchases are non-refundable
  • There are no cancellations or extensions
  • Allow for 1-2 business days to access the module following the registration and payment process

Anti-Money Laundering & Terrorist Financing (1 Ethics CE)

NEW VERSION COMING SOON: Please note that this module is currently being updated and a new version will be released soon. Access to the module is temporarily unavailable.

Financial advisors in the insurance and securities industry will learn anti-money laundering and terrorist financing basics; Canadian regulations and the offences and penalties for non-compliance; and ways to implement and adhere to your customized compliance regime, including recordkeeping obligations and timelines. This one-hour CE session assists financial advisors in understanding the requirements mandated under the Proceeds of Crime (Money Laundering) and Terrorist Financing Act (PCMLTFA).

Note: This module is only available to Advocis members.

1Learning Objectives
  • To help detect and deter money laundering and the financing of terrorist activities
2Overview

Format: Online learning & quiz

Pre-requisites: None

CE Credits: 1 Ethics CE

Note: Please check with your jurisdiction, designating body or professional association regarding their CE requirements.

Additional Material: None

Completion Requirements:

  • Passing mark is 60%
  • Completion of one online quiz (100% of overall mark)
3Features
  • Voice-over PowerPoint slides presented in two 30-minute sessions followed by an online quiz
  • Unlimited access to content
  • Unlimited quiz attempts
4Delivery
  • Self-study: The Advocis online modules are designed as self-study, with success highly dependent on the student's personal discipline. Students are presented with learning content and a quiz to assess their overall understanding.
5Price

Members: Included with membership

Non-members: Not available

Knowing the Code of Professional Conduct (1 Ethics CE)

A core value at Advocis is the commitment to professionalism amongst financial advisors. Part of being a member of The Financial Advisors Association of Canada means agreeing to abide by the Advocis Code of Professional Conduct and willingly observe the highest standards in the best interest of the consumer. This one-hour module steers you through the eight principles underlying the Code, the rules of adherence and provides guidelines to apply in your practice.

1Learning Objectives

Upon completion of Knowing the Code of Professional Conduct, you will be able to:

  • Explain the importance of the Code of Professional Conduct
  • Identify the eight principles and how they are applied in real-life client situations
  • Understand industry best practices to aid in adherence to the Code
2Overview

Format: Online learning & quiz

Pre-requisites: None

CE Credits: 1 Ethics CE

Note: Please check with your jurisdiction, designating body or professional association regarding their CE requirements.

Additional Material: None

Completion Requirements:

  • Watch Knowing the Code of Professional Conduct video & complete assessment
3Features
  • Unlimited access to content for 30 days
  • Unlimited quiz attempts
4Delivery
  • Self-study: The Advocis online modules are designed as self-study, with success highly dependent on the student's personal discipline. Students are presented with learning content and a quiz to assess their overall understanding.
5Price

Members: Included with membership

Non-members: $25.00

The Value of Errors and Omissions Insurance (1 Ethics CE)

This presentation provides financial advisors with a general introduction to the various issues relating to E&O insurance so they are able to gain an in-depth understanding of the product itself. The presentation encourages advisors to take a risk management approach to their coverage and not view E&O insurance simply as a method of regulatory compliance.

1Learning Objectives
  • Understand why E&O insurance is needed
  • Discover which protection services are available under an E&O policy
  • Learn about the potential sources of claims
  • Learn how to protect yourself in daily practice
  • Understand important terms/concepts
  • Understand the differences between Individual versus corporate coverage
  • Understand vicarious liability
2Overview

Format: Online learning & quiz

Pre-requisites: None

CE Credits: 1.5 CE, Including 1 Ethics

Note: Please check with your jurisdiction, designating body or professional association regarding their CE requirements.

Additional Material: None

Completion Requirements:

  • Passing mark is 60% overall
  • Completion of quiz (100% of overall mark)
3Features
  • Unlimited quiz attempts
  • One-month window for completion
  • Completion of all three Risk Management courses gives you access to a 5% discount on your E&O Insurance with Advocis Broker Services
4Delivery
  • Self-study: The Advocis online modules are designed as self-study, with success highly dependent on the student's personal discipline. Students are presented with learning content and a quiz to assess their overall understanding.
5Price

Members: $20.00 plus taxes ($50 plus taxes for bundle of 3 Risk Management courses)

Non-members: $30.00 plus taxes ($75 plus taxes for bundle of 3 Risk Management courses)

Administrative Policies:

  • All purchases are non-refundable
  • There are no cancellations or extensions
  • Expiry date is 30 days after registration
  • Allow for 1-2 business days to access the module following the registration and payment process

From Bad to Worse: Advisor Mistakes in the Claims Process (1 Ethics CE)

It takes a team to manage the claims process. When a claim happens, the worst thing an advisor can do is try to take it on their own. This presentation provides a basic review of the claims management process and on the members of the claims management team, with the focus on mistakes that can be avoided by an advisor in the process that can expose the advisor to even greater risk.

1Learning Objectives
  • Learn about the early warning signs of a claim
  • Understand the claims management process
  • Learn about the management team that can support an advisor through a claim
  • Learn how to avoid making mistakes during the claims processy
2Overview

Format: Online learning & quiz

Pre-requisites: None

CE Credits: 1.5 CE, Including 1 Ethics

Note: Please check with your jurisdiction, designating body or professional association regarding their CE requirements.

Additional Material: None

Completion Requirements:

  • Passing mark is 60% overall
  • Completion of quiz (100% of overall mark)
3Features
  • Unlimited quiz attempts
  • One-month window for completion
  • Completion of all three Risk Management courses gives you access to a 5% discount on your E&O Insurance with Advocis Broker Services
4Delivery
  • Self-study: The Advocis online modules are designed as self-study, with success highly dependent on the student's personal discipline. Students are presented with learning content and a quiz to assess their overall understanding.
5Price

Members: $20.00 plus taxes ($50 plus taxes for bundle of 3 Risk Management courses)

Non-members: $30.00 plus taxes ($75 plus taxes for bundle of 3 Risk Management courses)

Administrative Policies:

  • All purchases are non-refundable
  • There are no cancellations or extensions
  • Expiry date is 30 days after registration
  • Allow for 1-2 business days to access the module following the registration and payment process

Cyber & Privacy Liability (1.5 Ethics CE)

Advisors collect huge amounts of personal information about their clients and are directly responsible for the protection of that information. This presentation focuses on key regulatory and legislative requirements relating to the collection and storage of personal information, what the rules and laws are regarding how you communicate with the public, the penalties and impact on a business when these rules are breached, and what advisors can do to protect themselves and their client information.

1Learning Objectives
  • Understand the key regulatory and legislative requirements relating to the collection and storage of personal information
  • Understand the rules and laws regarding how you communicate with the public and the penalties and impact when these rules are breached
  • Learn how advisors can protect themselves and their client information
2Overview

Format: Online learning & quiz

Pre-requisites: None

CE Credits: 1.5 CE, Including 1 Ethics

Note: Please check with your jurisdiction, designating body or professional association regarding their CE requirements.

Additional Material: None

Completion Requirements:

  • Passing mark is 60% overall
  • Completion of quiz (100% of overall mark)
3Features
  • Unlimited quiz attempts
  • One-month window for completion
  • Completion of all three Risk Management courses gives you access to a 5% discount on your E&O Insurance with Advocis Broker Services
4Delivery
  • Self-study: The Advocis online modules are designed as self-study, with success highly dependent on the student's personal discipline. Students are presented with learning content and a quiz to assess their overall understanding.
5Price

Members: $20.00 plus taxes ($50 plus taxes for bundle of 3 Risk Management courses)

Non-members: $30.00 plus taxes ($75 plus taxes for bundle of 3 Risk Management courses)

Administrative Policies:

  • All purchases are non-refundable
  • There are no cancellations or extensions
  • Expiry date is 30 days after registration
  • Allow for 1-2 business days to access the module following the registration and payment process
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