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Keyword: Advisor titles

69 results found
confused man

Compliance sweep uncovers issues with identifying, disclosing and managing conflicts of interest, including conflicted compensation

Entrance to Financial Services Regulatory Authority of Ontario

Some fees reduced to reflect existing OSC oversight of new SRO

Bond counselling

The regulator intends to be a credentialing body under the province's title protection regime

Petitcodiac River with Moncton, New Brunswick, Canada in the background

Like Ontario and Saskatchewan, the province will regulate "financial advisor" and "financial planner"

  • By: IE Staff
  • March 23, 2023 March 23, 2023
  • 14:34
advisor client meeting

FAIR Canada research finds investors worry about fees and suitability, and have low faith in regulatory protections

cybersecurity of network of connected devices and personal data security, concept on virtual interface with consultant in background

Groups issuing financial planner and advisor titles must meet cybersecurity guidelines

suspicious client

The new self-regulatory organization is considering its role in the evolving regime

Saskatchewan Legislative Building in Regina

Province debates scrapping product-focused approach to advisor title standards

Entrance to Financial Services Regulatory Authority of Ontario

Minimum standards for credentialing bodies, and the robust process for approving those bodies, were determined after extensive consultations, writes Huston Loke

  • By: Huston Loke
  • September 23, 2022 September 23, 2022
  • 10:22
Queen's park, Ontario

Groups laud Saskatchewan's interest in higher standards