FCA introduces advisor reassessment test
The aim of the test is to raise the standards and competence of advisors
- By: James Langton
- September 5, 2018 November 13, 2019
- 15:30
The aim of the test is to raise the standards and competence of advisors
New guidance aims to bring mutual fund dealer arrangements under consistent regulatory oversight
Many experts predict another increase could arrive as early as next month
Closed-end funds would be reorganized as open-end mutual funds
Surplus with U.S. highest since October 2008
There was a modest increase in investment industry complaints
No need for immediate regulatory action, regulators say
High household debt levels remain an ongoing risk for the banks
Since 1993, more than 80 real estate companies have completed an IPO on TSX and TSXV
The application process for term life insurance is guided by the company’s proprietary algorithms and takes about five minutes to complete
Loonie falls further
Adrienne O’Neill succeeds Robert Veloso
M&A activity in the sector will continue as companies seek to increase their scale, diversify and improve profitability
Precious metals action calms, while Dow Jones tops 50K
Report calls for action on data gaps, surveillance, leverage
Trade deficit remains unchanged amid shifting tariff policy, Fitch reports
Trust account used in fraud, misappropriation, Law Society finds
Policy failed to cover hedge fund investment that turned out to be a fraud
Firm allegedly touted stocks on social media, while selling its holdings
Plus, GreenShield buys Kii Health's Canadian mental health services segment
The honours will be presented Feb. 12, at the association's Embrace the Challenge event
Start with flexibility, tax efficiency, simplicity
Plus, moves at Our Family Office, Harvest ETFs, Manulife Wealth, Canada Life and more
Plus, Wellington-Alus Private Counsel and Ninepoint Partners add new talent
Also, moves at Mackenzie Investments, Edward Jones Canada and the CSA
Plus, National Bank changes diversified equity fund
Net monthly ETF inflows reach $22B in January: report
Plus, other firms launch new products, tweak their fund lineups