Continuing Education → Compliance / Business Conduct

CFR Part I: Conflicts of Interest (LCIC014)


Description
Client focused reforms have arrived. And the first of the rule amendments are related to conflicts of interest. In this course, we describe conflicts of interest in the financial services landscape, how to identify a conflict of interest, how to determine its materiality, and how to address it in the best interest of the client.

1.5 IIROC: Compliance (24-0594C)
1.5 MFDA: Business Conduct 1000000215
1.0 CSF: PDU Compliance CSF21-05-55047
1.0 Alberta Accreditation Committee: Life or Accident and Sickness (57857)
1.5 Financial Services Regulatory Authority of Ontario: Life or Accident and Sickness
1.5 Insurance Council of British Columbia: Life or Accident and Sickness
1.5 Insurance Council of Manitoba: Life or Accident and Sickness (41260)
1.5 Insurance Councils of Saskatchewan: Life or Accident and Sickness
1.5 CPA: Verifiable Ethics CPD
1.5 CFA: Standards, Ethics, Regulations
1.5 FP Canada: Professional Responsibility
1.5 Advocis: Structured Learning
1.0 IQPF: PDU SC IQPF21-06-0028-G
1.5 Law Society of Ontario Substantive Hours
1.5 CIM/PFP Compliance

Client focused reforms have arrived. And the first of the rule amendments are related to conflicts of interest. In this course, we describe conflicts of interest in the financial services landscape, how to identify a conflict of interest, how to determine its materiality, and how to address it in the best interest of the client.


Important to note:
The accreditations with accompanying ID numbers have been approved and issued by the regulatory organization. The accreditations without ID numbers are additional regulatory organization's continuing education (CE) credit(s) that Learnedly believes the course satisfies.

This CE activity has been approved by FP Canada as meeting the minimum requirements for CE Approval as outlined within the FP Canada Continuing Education Guidelines. The views and opinions expressed in this presentation are those of the presenter / content author and do not necessarily reflect the views of FP Canada.

CE Credits: 1.5 MFDA CE Activity Cod...: 1000000215 IIROC: 1.5 IIROC: Compliance (24-0594C) MFDA: 1.5 MFDA: Business Conduct 1000000215 FSRA: 1.5 Financial Services Regulatory Author... AIC: 1.0 Alberta Accreditation Committee: Lif... ICBC: 1.5 Insurance Council of British Columbi... ICS: 1.5 Insurance Councils of Saskatchewan: ... ICM: 1.5 Insurance Council of Manitoba: Life ... CSF: 1.0 CSF: PDU Compliance CSF21-05-55047 CFP / QAFP: 1.5 FP Canada: Professional Responsibili... CIM / PFP: 1.5 CIM/PFP Compliance CFA: 1.5 CFA: Standards, Ethics, Regulations CPA: 1.5 CPA: Verifiable Ethics CPD Advocis: 1.5 Advocis: Structured Learning Law Society of ON: 1.5 Law Society of Ontario Substantive H...

Content
  • Conflicts of interest - an overview
  • 1. CFR COI Introduction (3:19)
  • 2. Understanding conflicts of interest (6:58)
  • 3. Addressing material conflicts of interest (5:28)
  • 4. Reporting material conflicts to your dealer (4:49)
  • 5. Disclosing conflicts of interest (7:18)
  • 6. Got conflict? (4:27)
  • Conflicts of interest - A closer look
  • 7. Conflicts from proprietary products (6:18)
  • 8. Conflicts from third-party compensation (5:21)
  • 9. Internal compensation, incentive practices and supervision (6:04)
  • 10. Referral arrangements (4:45)
  • 11. Outside business activities (6:56)
  • 12. Serving on a board of directors (3:34)
  • 13. Client-specific conflicts (4:30)
  • Conflicts of Interest Checkpoint
  • Conclusion
  • 14. COI Conclusion (2:45)
  • Final Test
  • Final Quiz - Conflicts of Interest
Completion rules
  • You must complete the test "Final Quiz - Conflicts of Interest"
  • Leads to a certificate with a duration: Forever