Agent deemed unsuitable after deceiving regulators about continuing education
A sneak peek at an upcoming CE course shows three time frames are key to recommendations
Audit regulator hits KPMG's Dutch division with record US$25-million fine
Association paid outstanding invoice, plus interest and majority of legal fees, SeeWhy says
Regulator reports results of first supervisory reviews at planner/advisor titling organizations
The national financial advisors association alleges it was overcharged
Professionals routinely shared answers for internal training assessments
Draft guidance forms part of larger effort to improve industry conduct
CIRO consultation shows support for exam-based model
The pandemic put many in-person learning programs on hold. Now is the time for firms to bolster their commitment to ongoing training
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