Lesson 1: Introduction to Conflicts of Interest
- Explain what is meant by conflict of interest.
- Identify the fundamental types of conflicts.
- Assess the materiality of conflicts.
Lesson 2: What is the Client Relationship Model (CRM)?
- Explain how CRM1 and CRM2 arose and what’s happening now
- Identify what’s important with NI 81-105
- Understand the issues around Personal Financial Dealings with Clients and Outside Business Activities
Lesson 3: What’s Next for Regulation?
- Explain the different opinions regarding the introduction of a Best Interest Standard
- Identify the key issues which arise from the mutual fund fee structure in Canada
- Discuss Compensation Structures, Fee Based Accounts and Referral Arrangements
| Approximate Hours of Study | |
|---|---|
| Hours of Study | 5 hours |
| QUIZ FORMAT | |
|---|---|
| Number of Quizzes | 1 |
| Quiz Format | Online |
| Question Format | Multiple Choice |
| Questions Per Quiz | 50 questions |
| Passing Grade | 60%* |
| Attempts Allowed Per Quiz | Unlimited |
| ENROLMENT PERIOD | |
|---|---|
| Enrolment Period | 6 months |
* IMPORTANT: There is no maximum to the number of quiz attempts permitted, but only the first passing grade (60% or over) will appear on official web transcript.
Continuing Education (CE) Credits
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