The objective of this course is to update the participant’s compliance knowledge by introducing them to the legal and regulatory framework applicable to new technologies and their integration into their professional practice.
(97,73$ taxes included)
The goal of this seminar is to examine Regulations No 3 & 10 of the Act respecting the
distribution of financial products and services, specifically the information that must be
provided to the consumers and the authorisations that must be obtained from them by
firms who wish to have access to additional information.
The following subjects will be covered: the Quebec civil Code, the AMF’S mission and
the Act respecting the distribution of financial services and products, the information
the advisor must provide to a consumer as well as the rules and regulations
concerning bookkeeping and preservation of registers and records.
The advisor must read Regulation No 3 and 10 of the Act respecting the distribution of
financial products and services as well as the PowerPoint presentation provided.
97,73$ (Taxes included)
The goal of this seminar is to review the various Laws that govern our practice, starting with The Quebec civil Code, the Autorité des marchés financiers Act, the Distribution of financial products and services Act, the rules and the regulations derived from these Acts, specifically in this seminar, the regulation governing the activities of the financial security advisor.
132,22$ (taxes included)
The goal of this course is to give an overview of the various laws governing our profession, our personal practices as well as each of us as individuals, with special emphasis on the insurance of persons Code of Ethics.
At the end of the course, the participants should have a better understanding of the rules that govern us, the most common infractions resulting in Disciplinary Board decisions and the sanctions that can and are handed down by the Disciplinary Comittee.
We will also go over in detail the Code of Ethics of the Chambre de la sécurité financière.
132,22$ (taxes included)