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Managing Compensation Related Conflicts of Interest


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
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 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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National/Provincial (Excluding Quebec)
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Quebec (IQPF/CSF)
Download IQPF/CSF Chart (PDF, 182 kb)

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