Compliance

AML, NPC, privacy, APEXA, E&O, FINTRAC, ISI, The Approach, disclosure

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26 articles in this collection
Written by Eric Wachtel and IDC WIN BIG

Compliance | IDC WIN Institute Courses

CE, continuing education credits, aml, compliance, fintrac, regime, manual, training, Alberta CIPR, Quebec AMF, access
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Written by IDC WIN BIG
Updated over a week ago

Welcome to IDC WIN, National Compliance officer Eric Wachtel

Compliance, a cornerstone of your financial practice
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Written by Eric Wachtel
Updated over a week ago

Compliance - Privacy regime (PIPEDA)

Protecting client data and confidential information
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Written by Eric Wachtel
Updated over a week ago

Critical Illness Protection Liability Waiver

Critical Illness, Waiver, declines to purchase,
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Written by Eric Wachtel
Updated this week

Know Your Obligations

IDC WIN Compliance Notice - July 16, 2018
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Written by Eric Wachtel
Updated over a week ago

Segregated Fund Sales Charge Disclosure Form

IDC WIN Compliance Notice - July 13, 2018
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Written by Eric Wachtel
Updated over a week ago

Compliance - Your FINTRAC Obligation-Screening

Your Advisor FINTRAC obligation to screen all clients, insureds, owners, payors, beneficiaries, and third parties
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Written by Eric Wachtel
Updated over a week ago

E-initiatives at IDC WIN!

APEXA Contracting and IDC WIN BIG
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Written by Eric Wachtel
Updated over a week ago

Updating your E&O with the Regulators

Your requirement to upload your E&O-Errors & Omissions to the regulator sites
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Written by Eric Wachtel
Updated over a week ago

Fee for Service Product

Important Tax Information you must know
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Written by Eric Wachtel
Updated over a week ago

Compliance - Anti-Money Laundering (AML)

Anti-Money Laundering, a mandatory compliance requirement
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Written by Eric Wachtel
Updated over a week ago

LIRD has been sent to the existing insurance carrier does it automatically cancel the existing coverage(s)?

Replacement and cancellation of existing coverage key information
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Written by Eric Wachtel
Updated over a week ago

What is the Life Insurance Replacement Disclosure (LIRD)?

Life Insurance Replacement Disclosure details
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Written by Eric Wachtel
Updated over a week ago

My client is only “considering” the replacement of their existing policy therefore, do I need to submit the Life Insurance Replacement Declaration-LIRD?

Compliance - Replacement or potential replacement of coverage info
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Written by Eric Wachtel
Updated over a week ago

What is CASL? Canada's Anti-Spam Legislation

Link to Recommended CASL Learning tutorial
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Written by Eric Wachtel
Updated over a week ago

E&O Coverage - PROFESSIONAL CONDUCT INVESTIGATION COVERAGE

An article written by BFL Canada on E&O Coverage. Check how this coverage can assist you during an audit. Do you have this coverage?
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Written by Eric Wachtel
Updated over a week ago

IDC WIN Compliance Notice - "The Approach" and Reason Why Letters

The Approach, Advisor Disclosure, Client Engagement letter, Fact Finding, Needs Assessment, Advice, Reason Why letter & Product Information.
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Written by Eric Wachtel
Updated over a week ago

Compliance | Advisor Disclosure

Mandatory, compliance, requirement, each client, signature required, privacy template
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Written by Eric Wachtel
Updated this week

Liability waiver - client coverage

When a client says no thank you to your recommendation.
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Written by Eric Wachtel
Updated over a week ago

Compliance - Holding out

Understanding your holding out obligations
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Written by Eric Wachtel
Updated over a week ago

Errors and Omissions insurance

Are you covered if a claim occurs?
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Written by Eric Wachtel
Updated over a week ago