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Canada Life: Operating a Compliant Practice
Agenda
- Regulatory landscape
- Regulatory compliance
- Risks related to non-compliance
- The client file
- Client file checklist
- Advisor disclosure
- Operating a compliant practice - Regulatory and advisor impact realities May 17, 2022 Privacy and client file consent
- Reason why letter
- Sales suitability documentation Compliance programs: AML & PIPEDA Conclusions
- Questions & Resource Documents

Presenter: George Sakellis

CE Credits: 1

00:48:00

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