Investment and Trading - Conduct and Practices Case Studies CE Course
Reviewed and approved by FP Canada for 1 CE Credit + 1 MFDA CE Credit
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Category Credits: 1 Financial Planning Credit for FP Canada + 1 Professional Development Credit for MFDA
The legal framework describes capacity and status of persons; natural persons, partnerships and legal persons (corporations); minors and guardians; Power of attorney (PoA) and, living will (enduring power of attorney); marriage and common law spouse; divorce and separation; wills, estates and successions; trusts and trustees; and bankruptcy issues. These are important issues which may affect the conduct of professionals in the financial industry. Furthermore, the do not call list, money laundering, and other ethics issues are discussed. The second part of the course describes various case studies and penalties for investments and trading, which provide a guideline for investment advisors to keep in mind when dealing with clients.
Students must pass the final exam before a certificate will be issued.
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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.
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Investment and Trading - Conduct and Practices Case Studies Video
Investment and Trading - Conduct and Practices Case Studies Quiz