Compliance & Training
Setting Up Your Practice
Setting Up Your Client Files
Life /CI/DI/ Insurance Sale
Segregated Fund / GIC/ Annuity Sale
Supplementary Client File Documents
Training Centre
In this section you will be able to find tutorials that will guide you through various templates, documents, and platforms that will allow you to remain informed and stay compliant.
In this section you will find a series of courses designed to enhance your business from a sales, education, and business development perspective. This is also where you will find our Advisor Code of Conduct Course, which is one of the requirements that must be completed on an annual basis. CE accredited presentations have been indicated within the course heading. To qualify for CE credits, please answer the questions at the conclusion of the course and complete all mandatory fields in the CE Submission Form.
* CE credits for completed courses will be issued on a monthly basis by our compliance team. If you require credits in advance of this timeline, please email compliance@gryphinadvantage.com
Advisor Code of Conduct
Approved for 1 CE credit, the Advisor Code of Conduct sets the standards to which advisors contracted with The Gryphin Advantage are to adhere by in their dealings with customers and when representing insurers. This course emphasizes your obligations as an Advisor; the importance of protecting client privacy & confidentiality; compliance with the Anti-Spam law & regulations before concluding with Advisor prohibitions.
Succession Planning
Approved for 1 CE credit, this course has been designed to help you understand the succession planning process, by highlighting timelines for implementation, the benefits that proper preparation can have, transition fail factors and key metrics that are associated with evaluating books of business.
Business Planning
Approved for 1 CE credit, this course guides participants through a case study that follows a detailed blueprint of a well thought out business plan, highlighting importance of each section and presenting applicable examples.
Process Mapping
Approved for 1 CE credit, this course has been created to assist advisors with understanding what goes into process mapping, its benefits, and applications and how to properly choose and implement a process map within your practice.
Marketing & Branding
Approved for 1 CE credit, this course has been designed to help you understand Marketing and Branding, and how properly implementing a marketing plan can help attract new clients, build trust, help an advisor stand out in a crowded market, while also staying top-of-mind with clients and prospects.
Home Equity Bank: Utilizing a Reverse Mortgage in HNW Financial Planning
Approved for 1 CE credit, this presentation empowers financial advisors to address the increasing demand for CHIP reverse mortgages in the ever-evolving retirement landscape, influenced by fluctuating home values and the repercussions of COVID.
Digital Defence & Ownership Transition
Approved for 1 CE credit, this presentation has been designed to help you understand the evolving landscape of cybersecurity and the importance of embracing the significance of business continuity planning, the role of proper insurance strategies and the complexities of transferring business ownership to help safeguard and sustain your business.
Virtual Compliance Event
Approved for 4 CE credits, the Gryphin Advantage Compliance event held on November 7th 2023, highlighted the impact of technology on compliance practices for financial advisors. As the industry continues to evolve; the importance of staying up to date on compliance requirements becomes a more integral component of conducting business.
Cybersecurity 101
Approved for 0.5 CE credit, this course has been designed to help you understand cybersecurity basics and inform you of a few threats that every advisor should be aware of and take steps towards preventing within their business.
Phishing 101
Approved for 1 CE Credit, this course has been designed to help you understand phishing basics and inform you of a few threats every advisor should be aware of and take steps towards preventing attacks within their business.
Setting up a Cyber-safe Home Office
Approved for 1 CE credit, this course has been designed to help you understand the importance of setting up a safe and secure home office as it pertains to cybersecurity. We highlight threats and considerations for prevention tactics that can be taken to make sure your business and client information is protected.
Safeguarding Your Digital World: The Power of Passwords & MFA
Approved for 1 CE credit, this course has been designed to help you understand the foundational elements of passwords and Multi-Factor Authentication (MFA). We highlight common errors with password creation and reinforce the benefits of implementing two or more verification factors through the use of MFA.
Virtual Compliance Day
Approved for 5.5 CE credits, The Gryphin Advantage Compliance Day held on November 8th 2022 highlighted our new Advantage your Business Program as well as covered the importance of Privacy, Conflict of Interests, AML & ATF as well as the Advisor Code of Conduct. As the industry continues to evolve; the importance of staying up to date on compliance requirements becomes a more integral component of conducting business.
This section has been designed to support you in evaluating and strengthening your compliance practices. Here, you'll find a comprehensive range of tools, assessments, and guides that help you assess your current compliance regime and ensure it aligns with industry regulatory standards. These resources are tailored to help you identify areas for improvement, streamline processes, and stay audit-ready at all times. Whether you’re preparing for an upcoming audit or looking to enhance your compliance framework, this section provides the insights and support you need to meet the evolving demands of the industry. Explore our checklists, best practice guides, and self-assessment tools to ensure you're always up to date with the latest compliance requirements.
Audit Readiness Assessment
Complete this Audit Readiness Assessment to gain a clear understanding of your practice’s current compliance framework and identify key areas for improvement.
Complete AssessmentDocumentation Strengths and Deficiencies Assessment
You can use this Documentation Strengths and Deficiencies Assessment as a periodic refresher to gain a comprehensive understanding of your current documentation practices and identify key areas that require improvement.
Complete AssessmentClient Interaction Documentation Assessment
This assessment evaluates how thoroughly financial advisors document client interactions, aligning with compliance expectations, audit preparation, and client protection. Each question is designed to reflect an advisor's understanding of the rationale behind documentation standards, ensuring records not only exist but support robust client and regulatory protections.
Complete Assessment