360 Compliance
The Compliance 360 Program is a comprehensive continuing education course designed for financial services professionals who wish to deepen and strengthen their understanding of the ethical and regulatory requirements governing their practice.
Training Objectives
This training aims to strengthen professional rigor, clarify the financial planner’s obligations, and promote the practical application of compliance in real-life client situations.
Training Content
The program is structured around six sections:
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The Code of Ethics
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The role of the Chamber’s syndic
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Financial planning mandates
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The financial planners’ competency framework
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Compensation in financial services
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Client relationships
Instructional Approach
Participants must review the official guides and relevant reference documents in order to become directly familiar with the rules, obligations, and expectations governing professional practice. These readings help anchor learning in recognized regulatory sources.
Each guide is accompanied by video summaries that highlight the key concepts, points of attention, and practical implications for professional practice. This approach facilitates understanding and allows for quick identification of important information.
Short podcasts complement the readings by offering discussions and reflections on the topics covered. They help place the concepts in real-world situations, illustrate common issues, and provide a clearer understanding of the practical impacts of compliance.
Quizzes are integrated into each section to assess understanding of the concepts covered. They allow participants to validate their knowledge, identify areas requiring review, and ensure proper assimilation of the content before moving on to the next section.
Benefits for Participants
The Compliance 360 Program helps develop a strong, practical understanding of compliance, improve the quality of client files, and maintain high professional standards, while earning 10 compliance continuing education units (PDU) at a very affordable price.
