Professionals routinely shared answers for internal training assessments
Draft guidance forms part of larger effort to improve industry conduct
CIRO consultation shows support for exam-based model
The pandemic put many in-person learning programs on hold. Now is the time for firms to bolster their commitment to ongoing training
CIRO proposes to focus on exams instead
Group rejects proposed fee exemptions for self-regulatory organization and calls for greater advisor proficiency
The Canadian Investment Regulatory Organization has a lot more work to do, says Andrew Kriegler, inaugural president and CEO
Integrating the SROs' compliance and enforcement functions is a top priority alongside policy work
Commission structures, account transfer standards and dual registration are all in the works
Only three percent of investment professionals say they are proficient in AI, CFA Institute finds