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Financial Advisor Compliance and Best Practice 101

The Advisor’s Role

“NEW - Cybersecurity Tips for Life Insurance Agents”

15 CE Credit Webinar!

Thursday July 24th, 2025

1PM - 3PM (EST) Ontario Time

LIMITED ATTENDANCE FOR THIS ONE – REGISTER NOW!

in Partnership with...

Mr. Don Xavier

As a licensed advisor, you must comply with all regulatory requirements and guidelines, including privacy, anti-money laundering legislation, and the Code of Ethics contained in applicable Provincial legislation, plus your MGA or Insurance Company Guidelines and Compliance manual, and by professional guidelines as adopted by insurance regulators, and industry recognized professional organization.

One Provincial Legislator lists three key categories emphasizing the importance of compliance in the financial services industry:

1. Contributing to public confidence in the insurance sector.

2. Promoting high standards of business conduct; and

3. Protecting insurance consumers.

In this presentation the advisor will learn about:

Advisor Compliance Requirements
How to create and maintain a compliant client file
Advisor’s standard business process
Advisor Disclosure Template/Processes
FNA - Full Completion
Reason Why” letter
Privacy and CASL consent
Policy File - Prohibited Items & Pre-signed Blank Forms / Signatures
Required CE Hours for Renewal, E&O Insurance, AML Policies/Procedures
Needs-based Sales Practices
Privacy Policies/Procedures

Be in the know, protect yourself, and run a compliant life insurance and segregated practice. Ensure that you stay abreast of regulatory standards and fulfill the role of an expert, keeping an eye on all developments and ensuring that fully implement compliance processes.

This is How You Will Receive your 15 CE Credits:

BC, SK, ON - Attend the 2-hour webinar and receive 2 Life & A&S CE credits.

AB - AAIC #64411 - Attend the 2-hour webinar and receive 2 Life & A&S CE credits.

MB - ICM #41192 - Attend the 2-hour webinar and receive 2 Life & A&S CE credits.

After the webinar, you can complete up to an additional 13 CE credits by using our Online Courses Portal for a total of 15 CE credits.

QC residents - You will receive access so that you can complete 15 CE credits by using our Online CE credit courses.

Only: $159.00 + TAX

You'll have 60 days from the webinar to complete the additional online hours.

Note to above – Check the Online Course Portal and see which courses will qualify for your ETHICS CE credit requirement for your Province or CFP Designation (FP Canada), AND do that course as part of your FREE ADDITIONAL ONLINE CE Credits that we are giving you for attending this webinar.

MFDA - You can now choose MFDA credits ONLINE as part of your FREE ADDITIONAL ONLINE CE - CHECK OUR APPROVED MFDA Courses here MFDA APPROVED CE COURSES.

FP Canada - Please note - This presentation can count towards General CE requirements. Effective January 1, 2025. FP Canada's CE requirements are now grouped into three categories: Financial Planning, Professional Responsibility, and General CE including Giving Back. CE in the Financial Planning & Professional Responsibility category must be accredited by FP Canada.

General CE - Does NOT NEED TO BE ACCREDITED by FP Canada to meet FP Canada's requirements. View all the General CE information HERE.

(IIROC) - Any CE credits earned from Pro-Seminars may also be used to satisfy CE requirements, provided the member firm has reviewed the course/seminar to ensure it complies with the IIROC Compliance and Professional Development requirements as set out in CE Rule 2650.

Advocis - Any CE credits earned from Pro-Seminars are considered "Approved" CE credits for Advocis. Send your certificate to them so that these CE credits are included for your Advocis CE requirements.

Certificates, payment receipts and online instructions will be emailed directly after the webinar.

Pro-Seminars | www.pro-seminars.com