Continuing education – Investment Executive https://www.investmentexecutive.com Canada's news source for financial professionals Fri, 08 Nov 2024 14:12:06 +0000 en-US hourly 1 https://wordpress.org/?v=5.9.3 https://www.investmentexecutive.com/wp-content/uploads/sites/3/2018/01/cropped-favicon-1-32x32.png Continuing education – Investment Executive https://www.investmentexecutive.com 32 32 CIRO taps Fitch Learning for new proficiency model https://www.investmentexecutive.com/news/from-the-regulators/ciro-taps-fitch-learning-for-new-proficiency-model/ Fri, 08 Nov 2024 14:00:36 +0000 https://www.investmentexecutive.com/?p=496316 Firm to help build infrastructure for new exam-based approach to reps' education

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]]> Much work to be done, CSA year in review shows https://www.investmentexecutive.com/news/from-the-regulators/much-work-to-be-done-csa-year-in-review-shows/ Tue, 23 Jul 2024 11:00:04 +0000 https://www.investmentexecutive.com/?p=489713 Ongoing regulatory initiatives include binding authority at OBSI, climate-related disclosures, misleading titles, mutual fund sales practices and more

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]]> CIRO debuts new proficiency regime rules https://www.investmentexecutive.com/news/from-the-regulators/ciro-debuts-new-proficiency-regime-rules/ Fri, 05 Jul 2024 17:33:06 +0000 https://www.investmentexecutive.com/?p=488879 SRO drops firm sponsorship requirement, among other changes

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]]> ‘Stable’ financial state has been achieved, Advocis says https://www.investmentexecutive.com/news/industry-news/stable-financial-state-has-been-achieved-advocis-says/ Thu, 27 Jun 2024 21:09:43 +0000 https://www.investmentexecutive.com/?p=488502 With cash flow stabilized, the national association for financial advisors is planning for recovery

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]]> Advisor incorporation among CIRO’s priorities for 2025 https://www.investmentexecutive.com/news/from-the-regulators/advisor-incorporation-among-ciros-priorities-for-2025/ Wed, 26 Jun 2024 20:56:59 +0000 https://www.investmentexecutive.com/?p=488467 SRO integration and investor protection also on the agenda

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]]> FSRA refuses licence over false CE certificates https://www.investmentexecutive.com/news/from-the-regulators/fsra-refuses-licence-over-false-ce-certificates/ Mon, 10 Jun 2024 20:24:51 +0000 https://www.investmentexecutive.com/?p=487432 Agent deemed unsuitable after deceiving regulators about continuing education

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]]> A strategy for assessing insurance suitability https://www.investmentexecutive.com/newspaper_/insurance-guide/a-strategy-for-assessing-insurance-suitability/ Mon, 13 May 2024 04:01:00 +0000 https://www.investmentexecutive.com/?p=485253 A sneak peek at an upcoming CE course shows three time frames are key to recommendations

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]]> PCAOB sanctions KPMG, Deloitte affiliates for exam cheating https://www.investmentexecutive.com/news/from-the-regulators/pcaob-sanctions-kpmg-deloitte-affiliates-for-exam-cheating/ Wed, 10 Apr 2024 20:59:09 +0000 https://www.investmentexecutive.com/?p=483509 Audit regulator hits KPMG's Dutch division with record US$25-million fine

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]]> Advocis settles with SeeWhy over non-payment of study materials https://www.investmentexecutive.com/news/industry-news/advocis-settles-with-seewhy-over-non-payment-of-study-materials/ Thu, 04 Apr 2024 19:40:15 +0000 https://www.investmentexecutive.com/?p=483126 Association paid outstanding invoice, plus interest and majority of legal fees, SeeWhy says

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]]> FSRA flags few issues at credentialing bodies https://www.investmentexecutive.com/news/from-the-regulators/fsra-flags-few-issues-at-credentialing-bodies/ Wed, 27 Mar 2024 20:51:18 +0000 https://www.investmentexecutive.com/?p=482849 Regulator reports results of first supervisory reviews at planner/advisor titling organizations

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