The SRO’s new strategic plan points out it will look at a possible “best interest” standard and regulatory restructuring, among other key issues
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.
Configuration error found in new version of Series 24 supervisory exam
SRO members gather to elect directors
The SRO is seeking public input to assist with the process of re-evaluating its current strategic objectives and priorities
Regulator plans to expand CE requirements
IIROC and the MFDA have advisory committees, regional councils and policy roundtables in place through which to receive feedback
The past 12 months included a wide range of significant changes, from implementing CRM2, to fresh steps toward a national regulator
The SRO's performance in its enforcement and business conduct compliance functions is not up to snuff, CSA report reveals
Report considers the need to review and put appropriate constraints on self-regulatory organizations