Event information

NPPF10A The role of compliance in the sound management of the financial planner's professional practice

This course is for all financial planners.

This course offers a portrait of the regulatory environment in which financial planners work, sometimes as representatives and sometimes also as registrants. Decisions involving financial planners are presented to shed light on the role of the various players in the oversight of their professional activities. This course explores the areas of compliance that should be the subject of a compliance policy for every registrant and also provides suggestions concerning actions to take to establish and enforce these compliance areas.

By the end of the course, the participants will have a more extensive understanding of their obligations and be better equipped to undertake the process of implementing compliance policies.

This web-based course is available at any time and may be taken at your own pace, to suit your own schedule. After registration, you will receive an automated e-mail confirmation with instructions to access your course.

You must complete this course by November 30, 2021.

  • Duration : 5.00 hour(s)
  • PDU : 5.0 SC-FP
  • Speaker :
  • Course Language : English
  • Number of seats available : 9998


OrganismAccreditation NumberUnitsSubdomain
Barreau du Québec5.0Admissibilité confirmée par le B. du Q. aux fins de la formation continue obligatoire, pour une durée de 5 heures.