Reps in current cycle must satisfy CE requirements by Dec. 31
Five years in the making, deal to merge IDA and RS needs only provincial approval
New committee will seek input on issues of importance to clients
The Investment Dealers Association of Canada is extending the comment period for its so-called Client Relationship Model (CRM) to the end of May.The CRM, which was first published for comment in late February, is essentially the self-regulatory organization’s effort to implement some of the reforms proposed in the Ontario Securities Commission’s Fair Dealing Model. Among […]
Industry facing four schemes
No determination yet on whether disciplinary action is warranted
Long-term funds see net redemptions
Westman made unsuitable recommendations to two clients
Application process set up for Investment Industry Regulatory Organization of Canada membership
But initiatives need to be harmonized to be effective