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Manulife Wealth 90-Day New Registrant Training Program (MFD) (MWI90DAYMFD2024)


Description
Welcome to Manulife Wealth’s 90-Day Training Program for advisors who were formerly registered as MSISI dealing representatives and moved to Manulife Wealth’s mutual fund dealer under CIRO.

This extensive course covers content required for all mutual fund advisors and licensed assistants operating on a single Investment Dealer Platform, such as Manulife Wealth.


20 IIROC: Professional Development (24-0622P) + 10 IIROC: Compliance (24-0621C)
20 MFDA: Professional Development (1000006028) + 6 MFDA: BC Non-Ethics and 2 Ethics (1000006027)
30 Financial Services Regulatory Authority of Ontario: Life or A and S
30/15 Alberta Accreditation Committee: 30 Life, 15 A and S (68036)
30 Insurance Council of British Columbia: Life or A and S
30 Insurance Councils of Saskatchewan: Life or A and S
30 Insurance Council of Manitoba Life or A&S (43874)
25 CFP/QAFP: 18 Financial Planning, 2 Professional Responsibility, 5 Practice Management
30 CIM/PFP 10 Compliance, 20 Professional Development
20 CFA: 10 Standards, Ethics, Regulations, 10 Professional Learning
30 CPA: Verifiable credits, including 4 Ethics CPD
20 Advocis Credits
20 Law Society of Ontario Substantive Hours

CE Credits: 20 MFDA CE Activity Cod...: 1000006028 IIROC: 20 IIROC: Professional Development (24-0... MFDA: 20 MFDA: Professional Development (10000... FSRA: 30 Financial Services Regulatory Authori... AIC: 30 Life & 15 A&S Alberta Insurance 68036... ICBC: 30 Insurance Council of British Columbia... ICS: 30 Insurance Councils of Saskatchewan: L... ICM: 30 Insurance Council of Manitoba Life or... CFP / QAFP: 25 CFP/QAFP: 18 Financial Planning, 2 Pr... CIM / PFP: 30 CIM/PFP 10 Compliance, 20 Professiona... CFA: 20 CFA: 10 Standards, Ethics, Regulation... CPA: 30 CPA: Verifiable credits, including 4 ... Advocis: 20 Advocis: Structured Learning

Content
  • Week 1: Introduction and Foundations
  • Introduction to Canada's Financial Industry
  • Client Communication and Financial Planning
  • Week 1: Professional Development
  • The Complete Guide for New Professionals
  • Workplace Communication Basics
  • A Guide to Workplace Integrity
  • Imposter Syndrome: What It Is and How to Overcome It
  • Week 2: Foundations
  • Intro to Economics
  • Mutual Funds: An Introduction
  • Week 2: Professional Development
  • Master the Art of Verbal Communication
  • Working Across Cultures
  • Communication Fundamentals
  • How to Work Effectively with Different Communication Styles
  • Week 3: Foundations
  • Equity Investments
  • Fixed Income Investments
  • Manulife Wealth - Proprietary Products & Accounts
  • Week 3: Professional Development
  • The Basics of Managing Stress
  • A Guide to Effective Meetings
  • Week 4: Foundations
  • Investment Portfolios: Introduction
  • Manulife Wealth - Planning Programs & Services
  • Week 4: Professional Development
  • Time Management Essentials
  • Leading with Emotional Intelligence
  • How to Have Difficult Conversations
  • Week 5: Foundations
  • Financial Statements
  • Financial Ratios
  • Manulife Wealth - Commissions, Compensation and Fees
  • Week 5: Professional Development
  • Resolving Conflict
  • Performance Management
  • Week 6: Foundations
  • Financial Planning
  • Vulnerable Clients
  • Week 6: Professional Development
  • Business Writing Fundamentals
  • Common Workplace Challenges and How to Handle Them
  • Week 7: Ethics
  • Ethics
  • Week 7: Professional Development
  • The Science of Effective Listening
  • Giving Effective Feedback
  • Week 8: ESG: Investment Fund Disclosure
  • Introduction to ESG Investment Fund Disclosure (3:11)
  • Understanding ESG (7:20)
  • ESG Related Terms (3:57)
  • ESG Related Funds and Strategies (4:48)
  • Greenwashing Prologue (2:50)
  • Greenwashing (8:23)
  • Investment Fund Greenwashing (5:07)
  • ESG Fund Disclosure Guidance (0:53)
  • Fund Name Objectives Strategies (8:39)
  • Risk ratings and suitability (7:32)
  • Sales Communications (4:41)
  • Conclusion - ESG (1:51)
  • Quiz: ESG Investment Fund Disclosure
  • Week 8: Insider Trading & Tipping
  • Introduction (4:46)
  • ImClone (5:24)
  • The Vagueness of Insider Trading (7:15)
  • Understanding the Key Elements of Insider Trading (7:45)
  • Tipping (3:51)
  • Front-Running (5:08)
  • Trade Surveillance Technology (3:28)
  • Know-Your-Client (KYC) (3:00)
  • Suspicious Trading Activity (2:47)
  • Creating Information Barriers (4:52)
  • Conclusion (3:00)
  • Quiz: Insider Trading & Tipping
  • Week 9: Anti-Money Laundering
  • AML Introduction (4:05)
  • Understanding Money Laundering (6:23)
  • How to Launder Money Part I (4:44)
  • How to Launder Money Part II (4:02)
  • How to Launder Money Part III (3:58)
  • Understanding Terrorist Financing (4:58)
  • Understanding Reporting Requirements (3:28)
  • What is a Suspicious Transaction Report? (6:00)
  • Red Flags of Money Laundering and Terrorist Financing (4:51)
  • Red Flags of Money Laundering for Securities Dealers (1:32)
  • Indicators Specific to Securities Dealers
  • Why Knowing Your Client Matters (5:32)
  • How to Verify the Identity of an Individual (11:39)
  • How to Verify an Entity (5:38)
  • Business Relationship Requirements (5:08)
  • Beneficial Ownership Requirements (3:36)
  • Third Party Determination Requirements (2:23)
  • Politically Exposed Persons (6:48)
  • Ongoing and Enhanced Monitoring (2:27)
  • AML Addendum
  • Conclusion (0:55)
  • Quiz: Anti-Money Laundering
  • Week 10: Cyber Security Awareness Training
  • Introduction Cyber Security Awareness Training (4:27)
  • Evolving Cyber Attacks (2:09)
  • Cyber security today (2:30)
  • Employer protocols for cyber security (4:39)
  • Dealing with cyber security incidents (4:00)
  • Cyber threat actors (5:54)
  • Insider threats (2:27)
  • Cyber threat tools - Malware (8:43)
  • Malware distribution channels (3:12)
  • Phishing... with a P.H. (6:59)
  • Spear phishing and Business Email Compromises (BEC) (6:57)
  • Ransomware (8:14)
  • Portable Storage Devices (3:18)
  • Working remotely from home (2:47)
  • Video conferencing (2:51)
  • Social Media (2:42)
  • Passwords (8:02)
  • Quiz: Cyber Security
  • Week 11: Client Focused Reforms (CFR)
  • CFR Introduction (1:36)
  • CFR background (3:57)
  • Week 11: CFR: Conflicts of Interest
  • COI Introduction (3:19)
  • Understanding conflicts of interest (6:58)
  • Addressing material conflicts of interest (5:28)
  • Reporting material conflicts to your dealer (4:49)
  • Disclosing conflicts of interest (7:18)
  • Got conflict? (4:27)
  • Conflicts from proprietary products (6:18)
  • Conflicts from third-party compensation (5:21)
  • Internal compensation, incentive practices and supervision (6:04)
  • Referral arrangements (4:45)
  • Outside business activities (6:56)
  • Serving on a board of directors (3:34)
  • Client-specific conflicts (4:30)
  • Conclusion: Conflicts of Interest (2:45)
  • Quiz: Conflicts of Interest
  • Week 11: CFR: Know Your Client (KYC)
  • KYC general obligations (6:30)
  • KYC information for multiple accounts and clients (1:44)
  • KYC for conducting a suitability determination (12:02)
  • Reluctance to share KYC information (2:36)
  • Confirming and maintaining KYC information (3:39)
  • KYC best practices and concluding points (2:53)
  • Week 11: CFR: Know Your Product (KYP)
  • KYP introduction and expectations (2:31)
  • Dealer KYP obligations (2:38)
  • KYP advisor obligations (5:23)
  • Ongoing monitoring (1:21)
  • KYP and multiple registrants (2:24)
  • Client-directed trades, transfers and exempt securities (1:48)
  • Week 11: CFR: Suitability Determination
  • Suitability overview (3:23)
  • When to make a suitability determination (3:43)
  • Portfolio approach to suitability (4:49)
  • Suitability factors (5:51)
  • Reassessing suitability (2:28)
  • Unsolicited and unsuitable orders (3:38)
  • Account appropriateness (3:55)
  • Leverage (3:37)
  • Conclusion (0:28)
  • Quiz: KYC, KYP and Suitability Determination
  • Week 11: CFR: Referrals, Relationship Disclosure, Misleading Communications
  • Referral arrangements (9:35)
  • Misleading communications (5:09)
  • Relationship disclosure information (10:40)
  • Disclosure of conflict of interest (8:07)
  • Quiz: RA, RDI, and Misleading Communications
  • Week 11: CFR: Protection of Vulnerable and Older Clients
  • Financial exploitation, vulnerable clients and mental capacity (6:40)
  • Trusted contact person (10:42)
  • Temporary holds (13:57)
  • Quiz: Protection of Older and Vulnerable Clients
  • Week 11: CFR: Outside Activities and Positions of Influence
  • Firm oversight of outside activities (1:24)
  • Conflicts and risks from outside activities (5:35)
  • Monitoring and supervising outside activities (7:34)
  • Individuals in a position of influence (11:50)
  • Quiz: Outside Activities and Positions of Influence
  • Week 12: Privacy Legislation
  • Privacy Legislation Introduction (1:24)
  • Understanding Personal Information and Privacy Legislation (2:14)
  • Understanding PIPEDA (2:03)
  • PIPEDA's 10 Fair Information Principles (2:18)
  • Principle 1: Accountability (1:24)
  • Principle 2: Identify the Purpose for Collecting Information (1:55)
  • Principle 3: Obtain Informed Consent (3:03)
  • Express and Implied Consent (1:24)
  • Exceptions to the Consent Principle (1:57)
  • Principle 4: Limit Collection (1:04)
  • Principle 5: Limit Use, Disclosure and Retention (2:48)
  • Principle 6: Be Accurate (1:00)
  • Principle 7: Use Appropriate Safeguards (4:38)
  • Principle 8: Be Open (1:48)
  • Principle 9: Give Individuals Access (4:02)
  • Principle 10: Provide Recourse (2:12)
  • Complaints to the OPC (2:12)
  • How the Privacy Commissioner Handles Complaints (3:45)
  • Audits of Personal Information Management Practices (2:28)
  • Dealing with a privacy breach (5:43)
  • Québec Privacy Legislation Overview (3:49)
  • Québec Privacy Legislation
  • Quiz: Privacy Legislation
  • Week 12: Marketing
  • Marketing Fundamentals: Your Getting Started Guide
  • Optimizing Your Images for SEO
  • Your Comprehensive Email Marketing Guide
  • Customer and Market Research
  • Week 13: Business Development
  • Sales Fundamentals
  • The Ultimate Sales Prospecting Guide
  • An Introduction to Sales Enablement
  • Building Relationships in Sales
  • Why People Buy: Boost Sales by Understanding Customers Needs
  • How To Handle Objections: Getting Customers to Say Yes
  • Psychology Tips That Unlock Sales
  • Closing the Deal: Negotiation Strategies to Increase Sales
Completion rules
  • All units must be completed
  • Leads to a certificate with a duration: Forever
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