Course Curriculum

2.0 CE Credit - approved in AB, SK, MB, BC, ON, QC

  1. Risk Management & Best Practices For Financial Advisors

  2. A: Course Orientation

  3. B: Why Risk Management

  4. C: Legal & Regulatory Landscape

  5. D: Best Practices For File Documentation

  6. E: KYC and KYP Best Practices For Financial Advisors

What You'll Learn

  • Develop the essential risk‑management skills needed to make sound decisions and safeguard your advisory practice.

  • Cover key responsibilities—legal/regulatory requirements, documentation best practices, and KYC/KYP principles.

  • Use real‑world claims and E&O/cyber coverage insights to help advisors reduce liability and strengthen professional standards.