13. The Agent/Broker as a Professional
This Course Provides:
Life & 3 Hours A&S License
All this information is necessary to assist the advisor/agent/broker in the operation of their financial services business.
This course will cover the following points:
The laws that govern the advisor/agent/broker.
Who creates the regulatory Insurance laws and who enforces them?
What are the duties of the different levels of governments?
What is the definition of an advisor/agent/broker?
Market place conduct for the financial advisor will be looked at.
Advisor/agent/broker Duty of Care / Know Your Client
rule is discussed in detail. Areas such as
Some of the other areas that are discussed are:
- Competence, Integrity, and Ethical conduct.
- Responsibility and suitability in the transaction environment
- Priority of policy owner interests
- Code Of Ethics covering such areas as
misrepresentation, defamation, replacement of policies,
- This course will cover example of the Code of Ethics and how to abide by them.
- The advisor/agent/brokers role in the client relationship is discussed showing the relationship between sales and service.
- How do advisors/Brokers deal with the claims process and what are the tax consequences of a death claim?
- Advisor/agent/broker educational development that is necessary to provide the best possible service for clients and prospects.
203-4438 Ontario Street
Beamsville, ON L0R 1B5
Toll Free Phone 877 524-7121 Toll Free Fax - 866 277-4511
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