Compliance Pillars

This presentation emphasized the critical importance of compliance in the financial advisory sector, highlighting the need for advisors to stay informed and aligned with evolving regulatory requirements. Key documents discussed included engagement letters, reason why letters, and foundational organizational materials such as anti-money laundering and privacy programs. The importance of maintaining consistency, clear documentation, and simplicity in compliance practices was strongly emphasized. The presentation also introduced practical tools like business continuity plans and reporting requirement checklists to help advisors manage risk and uphold client trust.

Presentation Preview:

Want to learn more about this presentation? Click the video to the left to watch the first 3 minutes! Full presentation time: 1h 4m

How to Earn Your CE Credit?

This is a simple 3 step process 1. Watch the full presentation video 2. Complete all parts of the curriculum (listed below) 3. Click the Complete Course button at the end. Good news for you, is that there are no quizzes!

CE Credits provided by this presentation:

* FP Canada - 1 Financial Planning credit * Advocis - 1 IAFE Approved (Ethics) credit * MFDA - Business Conduct Non-Ethics credit (in bundles) * FSRA - 1 FSRA Approved credit * CSI - Compliance credit (in bundles) * ICS - 1 Life Insurance credit * ICM - 1 Life Insurance credit & acceptable to many other organizations.

Curriculum

1 Chapter · 5 Lessons

1
Compliance Pillars
1. (Included in full purchase)
  Introduction and Instructions
2. (Included in full purchase)
  The Rules Governing CE Credits
3. (Included in full purchase)
  Presentation Overview
4. (Included in full purchase)
  Presentation Video
5. (Included in full purchase)
  Presenter Resourses

About the Presenter: Gabriel MacCausland-Sirois

Gabriel has been working with financial advisors to integrate compliance, technology changes and business development solutions for just over a decade. Gabriel joined London Life in 2012 as an advisor and was promoted to the leadership team in 2015 to lead training and advisor development. Gabriel takes an “education first” approach to understanding and analyzing business issues. He has delivered hundreds of sessions, including one-on-one coaching to uncover opportunities, spanning live in-person and virtual sessions with audiences in the hundreds. Gabriel worked for several years developing solutions in the non-profit sector, where he first honed his skills in project management, stakeholder management, and customer needs analysis. His background in project management has served him and his advisors, providing a formal structure to take on the technology changes, ensure compliance, and to capitalize on business opportunities. When he isn’t working to help get advisors “unstuck”, Gabriel enjoys spending time outdoors with friends and family.