8 CORE COMPLIANCE
FOUNDATION PRINCIPLES
CE Credits
Designed For
Financial Advisors, Support Staff, Managing General Agents (MGAs), Insurance Carriers, and Compliance & Risk Management Teams
Join this exclusive training webinar designed to safeguard your license, strengthen your compliance framework, and protect the reputation you’ve worked so hard to build.
Presenter
Don Xavier – industry veteran, advisor, speaker, author, and co-founder of VFG Financial Group and Don Xavier Academy. Don is known for his high-energy, transformational sessions on compliance and best practices, personal development, and leadership.
Stay Compliant. Stay Ahead.
Avoid costly penalties, protect client trust, and build a stronger, future-ready practice.
Secure your spot today – because compliance isn’t optional. It’s foundational.
Please share this important compliance workshop information with your associates so they can benefit as well.
In partnership with Pro-Seminars:
In today’s evolving regulatory landscape, staying compliant isn’t just about avoiding penalties; it’s about protecting your clients, your reputation, and your business.
This compliance presentation delivers critical insights, earns you either 15 or 30 CE credits,
and sharpens your professional edge.
Attending a compliance presentation is more than checking a regulatory box—it’s a strategic move that safeguards your practice, enhances credibility, and positions you for long-term success.This masterclass delivers segmented insights, practical frameworks, and province-specific updates to help advisors, MGAs, insurers, and support staff stay ahead of regulatory change.
You Will Learn
- Ethical & Compliant Client Partnerships
Building trust-based, integrity-driven client relationships - Tech Governance for Advisors
Cyber hygiene and digital risk management - Cybersecurity Awareness 2026
Protecting your digital future - Canada’s Email & Messaging Rules
CASL compliance and communication protocols
- Anti-Money Laundering & Terrorist Financing Essentials
Financial integrity and transaction transparency - PIPEDA Compliance Principles
The Ten Pillars of Canadian privacy law - Complaint Handling & Disclosure
Reducing risk through proper processes - Audit-Proofing Your Advisory Practice
Risk mitigation and building a culture of audit excellence
Event Details
8 Core Compliance Foundation Principles –
LIVE Webinar
Thursday, March 12, 2026
12:00 p.m. to 4:00 p.m. (Toronto, ON time)
Earn EITHER 15 or 30 CE credits for attending THIS 4-hour webinar.
Registration
LIVE Webinar:
OPTION 1 – 15 CE Credits ONLY – $249 + tax
OPTION 2 – 30 CE Credits ONLY – $299 + tax
Corporate Bulk Purchase: For corporate packages, email adam@pro-seminars.com.
Your Registration Includes
- Webinar CE Credit Certificate & receipt emailed immediately after the seminar
- Your additional online CE credit instructions will be sent after the webinar
CE Credits Approved For
4 Life & A& S CE – BC, AB (AIC #74786), SK, MB (ICM #48556) & ON
CE can be used for various Associations as well as various Designations
Why This Presentation Matters
Regulatory expectations are intensifying across Canada.
FSRA in Ontario is implementing significant compliance changes effective January 1, 2026, and other regulators are expected to follow this model.
FSRA Is Watching – Are You Ready?
In its October 6, 2025, report, FSRA confirmed:
- A 22% increase in misconduct reports
- Heightened sanctions against life and health agents during 2024–25
FSRA identified common misconduct issues, including failures of integrity and misrepresentation, incomplete disclosure, and weak agent oversight.
Key Findings from FSRA’s 2024–25
Supervision Report
(Based on 92 agent examinations, 186 misconduct reports, and 27 enforcement actions)
- 45% failed need-based sales practices
- 46% provided incomplete product illustrations
- 32% had missing client notes
- Misconduct included fraud, misrepresentation, falsified documents, and unauthorized sales
- $232,000 in penalties and 16 license sanctions
2025 – 26 Supervision Plan Highlights
- Monitoring agent transfers to prevent “rolling bad apples.”
- Introduction of a new Business Practice Compliance Questionnaire (BPACQ)
- Tightened MGA oversight
- Faster, deeper, and more transparent LAMR reviews
This report is not just information; it’s a call to action.
Who Should Attend and Why
- Financial Advisors & Support Teams
- Stay ahead of FSRA, CCIR, and federal compliance changes
- Navigate ethical dilemmas with confidence
- Protect client data in a digital-first environment
- Identify fraud and meet AML obligations
- Earn Life & A&S CE credits for various associations and designations
- Managing General Agencies (MGAs)
Empower Your Advisors. Elevate Your Brand.
- Strengthen advisor compliance and reduce risk exposure
- Offer value-added CE education to attract and retain top producers
- Position your MGA as a leader in ethics and professional development
- Gain sponsor visibility and networking opportunities
Support your advisors. Protect your business. Lead with integrity.
- Insurance Carriers
Compliance Is a Brand Advantage—Own It.
- Demonstrate leadership in ethics and education
- Equip staff and partners with CE-accredited training
- Align your brand with advisor empowerment and client protection
- Gain exposure among advisors and practice leaders
Be the carrier that champions compliance.
- Compliance & Risk Management Teams
Turn Compliance from a Burden into a Strategic Asset.
- Stay current on regulatory and enforcement trends
- Engage in scenario-based learning and ethical case studies
- Network with peers across the industry
- Reinforce a culture of accountability and compliance
Compliance isn’t just about rules – it’s about reputation.