FP-Canada approved for 1 CE credit

The FP Canada CE Credit logo and QAFP marks are trademarks of FP Canada. CFP®, CERTIFIED FINANCIAL PLANNER® and are certification trademarks owned outside the U.S. by Financial Planning Standards Board Ltd. (FPSB). FP Canada is the marks licensing authority for the CFP marks in Canada, through agreement with FPSB.  

Course Description

Category Credits: 1 Professional Responsibility Credit for FP Canada + 1 Business Conduct - Ethics Credit for MFDA

Enforcement cases will be discussed in this course. For each case, the following information is provided:

1. A background of the case, indicating the situation which resulted in the complaint. 

2. The conduct breach indicates the wrong act and which rule, or conduct was breached.

3. The penalty indicates the Hearing Committee's action which the advisor had to fulfill.

4. The conduct review will provide a detail of the relevant Rule or Code of Ethics that was broken in the case. 

5. The questions at the end of the course will provide an opportunity for learning so that financial advisors can refrain from breaching the rules and policies. 

6. The cases are taken from the public record https://fpcanada.ca/canadian-public/disciplinary-actions


Students must pass the final exam before a certificate will be issued.  

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Lead LLQP Instructor

Professor Adam (Aizad) Ahmad, MBA, MSc, LLQP

Earning his MBA in the UK, Adam holds many professional designations in finance to include: CSC, BCO, IFIC, LLQP, PFP, CPH, Real Estate and more.  Starting his career working for large financial institutions like Sun Life, Edward Jones, Scotiabank, and others, Adam followed his passion for education and moved on to teach life insurance and other financial certifications at various colleges in Ontario.

Now at PNC Learning, Adam helps us with our instructional design and LLQP pre-licensing and CE training.

Course curriculum

  • 1

    Video

    • FP Canada Disclaimer

    • Enforcement Case Studies for Financial Planners Video
  • 2

    Quiz

    • Enforcement Case Studies for Financial Planners Quiz

  • $120.00 / year

    $120.00 / yearFP Canada & MFDA CE Course Bundle

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