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.
Venture companies begin opting for less frequent reporting
Proposal to clarify that reporting rules apply to unitary ETFs, CDRs, notes
SEC alleged Canadian involved in penny stock pump-and-dump scheme
BCSC enforcement hearing set to resume next month
Product options, focus on planning add to last year's sales momentum
Tipster denied payout after first alerting media, prompting SEC investigation
Many trusts may need to amend 2024, 2025 tax returns
Regulators should commit to a formal review of total cost reporting, including report tests with retail investors