Principles of Compliance

Course Writer
Oliver Publishing

Course Description
This course helps advisors understand the standards of conduct that guide behaviour, the duties for being compliant, how compliance can be incorporated into everyday activities, and the impact that standards of conduct have on your success.

Learn how to build good compliance habits, develop your own guidance systems and how to best serve your client. Adherence to compliance requirements is essential to:

  • protect financial advisors against lawsuits from dissatisfied clients
  • save the expense of defence against unwarranted and unsubstantiated claims
  • preserve your reputation and that of your firm
Supplemented with case studies and compliance suggestions, Principles of Compliance reinforces both fundamental and practical knowledge.

Also available in French.


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