Compliance Calendar Items and Annual Checklist

Obligations

A good practice is to set up, assess and regularly update a compliance program adapted to each advisor’s practice taking into account size, nature, complexity and risk profile. The program should include policies and procedures that establish a system of controls and supervision sufficient to:

Ensure compliance with the applicable regulatory framework;

Manage the risks related to the advisor’s activities, particularly those that are recurring and may cause injury to clients.

SFG Advisor code of conduct

Canada Life Compliance: Know Your Obligations