Karen McGuinness, sr. vice president, member regulation – compliance, Mutual Fund Dealers Association of Canada, discusses three initiatives of interest to advisors: CE requirements; proficiency standards for the title “financial planner”; and the Seniors Summit.
Review finds challenges monitoring OTC commodity derivatives
Enforcement case volumes decline in fiscal 2024, agency says
Rep arranged a loan from one client to another to repay a "gang" debt
Charges involve alleged bribes paid for government contracts in India
Regulators cite concerns about high-pressure sales tactics in bank branches
Price pressures prove stubborn, a sign that inflation's steady decline over the past two years has stalled in recent months
GDP report still showed that the American economy is proving surprisingly durable
Applications fell by 2,000 to 213,000 for the week of Nov. 23, near seven-month lows