Our Services

La Conformité accompanies you in your compliance process. We offer several services adapted to your needs:

  • Audit of your counselors’ records to ensure compliance with the laws;
  • Accompaniment of the person in charge of compliance within your cabinet in anticipation of a hearing by the Chambre de la sécurité financière and/or the Autorité des marchés financiers;
  • Due diligence service when purchasing a life insurance cabinet and/or a block of business, allowing you to make an offer that is fair and equitable for both parties;
  • Compliance training (accredited by the Chambre de la sécurité financière, allowing you to obtain PDUs);
  • Tailor-made compliance advice, up-to-date compliance documentation, etc.

Contact us to determine your needs and the type of services we can offer you!

StepsActionsProposed dates
Review our service offer with the principal, the expectations and the responsibilities of both partiesMeeting with owner/manager of life insurance Cabinet
• Fact find
• Present competency, training to be done: present knowledge, attitude, habits, tools presently used, responsibilities, client files, typical client profile
• Business owner concerns and expectations
• The relationship, between marketing assistant, administrative assistant, advisors, associate advisors and clients
• The commitment of each: advisor, associate advisor, marketing assistant, administrative assistant
To be mutually determined
Audit client files• To audit 6 client files per advisor attached to the firm
• Complete a client file audit report for each client file audited
La Conformité, Groupe Conseil en Assurance Inc.
Review with principal of the firmWrap up with principal of my findings
• Review each client file audited
• Review my findings and steps, training, tools, and future changes to be put into place to bring firm to compliance expectations
La Conformité, Groupe Conseil en Assurance Inc.
Written report• Within 5 business days, a copy of client file audit report for each file audited, with steps and corrections to be made to meet compliance
• Within business days a full report as to the training required, tools to be used, processed to put into place and steps to bring firm to meet compliance standards
La Conformité, Groupe Conseil en Assurance Inc.