This Course Provides:

5 Hours Life & 5 Hours A&S License 
5 Hours - General 
License - RIBO Technical

This course covers:

  • Liability Dangers & Public Awareness for Advisor and Client alike.

  • Proper Standards Of Care that should be followed.

  • What can a financial planner do to try to avoid a malpractice suit?

  • Torts & the basis for liability claims.

  • Insurance Agent's and Brokerís Negligence in Tort Liability.

  • General liability of all Agents and Brokers.

  • Insurance Agent's and Brokerís Presumed Negligence & Contributory Negligence.

  • Express Authority & Ostensible Authority - What do these terms mean?

  • Insurance agentís' and brokerís civil & criminal violations.

  • Insurance agent and brokerís breach of contract.
  • The Investment Advisor's liabilities - what are they, and how can we protect ourselves from legal action.

  • We will look at the various risk classifications for the Insurance Professional - Life and General.

  • Full Disclosures, Due Diligence, and what your Fiduciary Duties are, will be discussed in detail.

  • The E & O Liability policy - what is it?

  • We will investigate a segment called ďAre you doing more than just ANY types of insurance or Financial Planning?Ē

  • The course looks at some preventative measures as we review the liability of Financial Planning in the real world.


203-4438 Ontario Street

 Beamsville, ON  L0R 1B5

Toll Free Phone 877 524-7121 Toll Free Fax - 866 277-4511


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