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 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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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

    • Investment and Trading - Conduct and Practices Case Studies Video
  • 2

    Quiz

    • Investment and Trading - Conduct and Practices Case Studies Quiz

  • $120.00 / year

    $120.00 / yearFP Canada & MFDA CE Course Bundle

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