Financial Advisor Compliance Seminars: Ev Kent

Compliance continues to be an important subject for all financial advisors. Last year Ev Kent conducted all of the Advocis Compliance Seminars and used his entertaining and educational style to graduate over 200 students. If you would like to attend this popular seminar register online by going to www.advocis.ca or if you know of someone who should attend send this note along.

We are also in the process of developing an Ethics in Action Seminar to be launched in February 2005. to find out more about this exciting seminar contact us at ev.kent@sympatico.ca

Fall 2004 Compliance Seminars

In today’s market conduct environment, how knowledgeable are your producers about compliance? Ignorance is not an excuse! Advocis has developed a one-day, hard-hitting seminar designed to communicate industry principles and guidelines to advisors.

The Compliance Seminar material will address the regulations and guidelines of life insurance, mutual fund, security and financial planning regulators. The materials, including a workbook, will be based on the Advocis Code of Professional Conduct and it will have tools to help clarify the actions of financial advisors when conducting business. The seminar series will include lots of real life examples pertaining to what should and should not be done. An assessment piece will be administered at the end of the seminar and Advocis will issue a certificate for successful completion.

An incredible value for companies who want to train their advisors on the importance of compliance!

Attendees will earn 5.5 CE credits (2 of which are ethics credits), also approved for 4.75 Life and A&S credits with the Alberta Insurance Council and 5 PDU�s in Quebec.

  • London Four Points London Monday, October 4, 2004
  • Toronto Holiday Inn Select Toronto Airport Thursday, October 7, 2004
  • Kitchener/Waterloo Holiday Inn Kitchener Monday, November 1, 2004
  • Regina Delta Regina Monday, November 15, 2004
  • Edmonton Holiday Inn Convention Centre Monday, November 22, 2004

Pricing Options for the Compliance Seminar Series

CATEGORY 1

  • Individuals � members $295 / advisor + GST/HST
  • Individuals � non-members $395 / advisor + GST/HST

Special rates are available for groups (25 or more) or individuals with a corporate partner.

For more about Everett L. Kent & Associates, visit www.evkent.com