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.
Former rep traded investors' discount brokerage accounts for them
Regulators sign MoU targeting operational resilience, incident recovery
Regs seek efficiency, innovation to facilitate single EU financial market
Regulator settled with Rio Tinto, former CEO in 2023
Fallout would hit financials, real economy, governments, along with tech firms
Triple the proceeds of misconduct deemed more adequate deterrent
Gains in the industrials sector helped push Canada's main stock index higher Thursday
In Canada, demographics, limited supply to boost senior market