Stay compliant and avoid costly mistakes!

Gain a clear understanding of the legal obligations for firms and Independent Representatives to safeguard your business and maintain regulatory compliance.

What to do?

Protect your business, safeguard your clients, and ensure compliance with evolving laws and regulations!

Engaging and Practical Learning!

Experience interactive training with real-world case studies that simplify legal concepts and empower you to apply them with confidence. 

A Must-Have Course for Responsible Officers and Independent Representatives

As a Responsible Officer or Independent Representative, you play a crucial role in ensuring compliance, managing risks, and upholding industry standards. This course equips you with the legal knowledge and practical tools needed to navigate evolving regulations with confidence.

Curriculum

11 Chapters · 39 Lessons

  1. 1

    Laws and regulations applicable to mortgage brokerage

    1. (Included in full purchase)

      Introduction

  2. 2

    Protection of personal information

    1. (Included in full purchase)

      Independent representative and the law

    2. (Included in full purchase)

      Collect of personal information

    3. (Included in full purchase)

      Specific consent

    4. (Included in full purchase)

      Avoquiz 1 - Requirements for a personal information collection form

    5. (Included in full purchase)

      Avoquiz 1 - Requirements for a personal information collection form

    6. (Included in full purchase)

      Avoquiz 2 - Consent

    7. (Included in full purchase)

      Avoquiz 2 - Consent

    8. (Included in full purchase)

      Answer Avoquiz 2

  3. 3

    Complaint examination obligations

    1. (Included in full purchase)

      Complaint reporting

    2. (Included in full purchase)

      Complaint reporting of an independent representative

    3. (Included in full purchase)

      Complaint examination policy

    4. (Included in full purchase)

      Verbal complaint

    5. (Included in full purchase)

      Avoquiz 3 - Consignation d'une plainte

    6. (Included in full purchase)

      Answer Avoquiz 3

    7. (Included in full purchase)

      Answer Avoquiz 3

  4. 4

    Money laundering and terrorist financing activities

    1. (Included in full purchase)

      Identification of the client by a mortgage broker

  5. 5

    Canada's anti-spam legislation (CASL)

    1. (Included in full purchase)

      Existing business relationship (EBR)

    2. (Included in full purchase)

      Request to send a CEM

    3. (Included in full purchase)

      Inquiry about your services

    4. (Included in full purchase)

      Avoquiz 4 - email published on social media

    5. (Included in full purchase)

      Answer Avoquiz 4

    6. (Included in full purchase)

      Answer Avoquiz 4

    7. (Included in full purchase)

      Business card

    8. (Included in full purchase)

      Linkedin private message

  6. 6

    Competition Act

    1. (Included in full purchase)

      Conspiracies, agreements or arrangements between competitors

  7. 7

    Liability Insurance

    1. (Included in full purchase)

      Liability insurance coverages

    2. (Included in full purchase)

      Proof of liability insurance

  8. 8

    Tutor to the person of full age

    1. (Included in full purchase)

      Tutor to property

  9. 9

    Canada's National Do Not Call List

    1. (Included in full purchase)

      Telemarketers obligations

    2. (Included in full purchase)

      Internal Do not Call list

    3. (Included in full purchase)

      Register and subscription to Do not Call list

    4. (Included in full purchase)

      Avoquiz 5 - personal references

    5. (Included in full purchase)

      Answer Avoquiz 5

    6. (Included in full purchase)

      Hours for sollicitation

    7. (Included in full purchase)

      Answer Avoquiz 5

  10. 10

    Outside activities

    1. (Included in full purchase)

      Activity to be declared - and to whom!

    2. (Included in full purchase)

      Incompatible activities

  11. 11

    Test

    1. (Included in full purchase)

      Final Test

Isabelle N. Tremblay

Hello, I’m Isabelle N. Tremblay, a lawyer in the financial sector for nearly 30 years, and I will be your guide throughout these training sessions. Recognized for my expertise in financial regulation, I had the honor of drafting the Guide pour le dirigeant responsable de l’AMF, a key reference tool for industry professionals. For over a decade, I have been dedicated to training and supporting advisors, executives, and representatives, helping them practice their profession with rigor, professionalism, and full compliance.

Understanding regulations means equipping yourself to excel and protect your business

Join me as we explore best practices to ensure compliance and protect your business.

$75.00

Enroll for free