Compliance Approvals

DOUG WEIR, CFP

Doug Weir is an independent compliance consultant with 20 years of experience as a manager of Market Conduct, Compliance, working for a major Canadian insurer. He has helped advisors and their firms develop their compliance programs for AML, Privacy and needs-based sales. Additionally, he provides 3rd party file and sales review services to allow firms and their brokers with a way to identify any gaps in their processes and to address their compliance oversite responsibilities. 

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He began his career as an advisor and a retirement planning councellor and is a certified financial planner (CFP). Doug has been active with Canadian Regulators, providing expertise to the Financial Services Commission of Ontario (FSCO) in the development of the Life Licence Qualification Program (LLQP) examination materials. He has presented and been a member of several working groups for The Canadian Life and Health Insurance Association (CLHIA) at a national level.

Disclaimer

Not all our products are compliance approved. Only the items specified as compliance approved are. We meet the standard of Canadian Regulators. We do recommend that you as a financial advisor get approval from your internal compliance officer, as some rules and regulations may vary based on city, products and services, financial certifications, and brokerage. By using our content and designs, we are not responsible for any legal situations, misunderstandings, or misuse of these products.