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
Technical, professional and interpersonal skills are key to help clients achieve financial wellness
A FSRA review resulted in 445 letters of warning for failing to complete continuing education hours
The three candidates were among 507 exam writers
The Quebec self-regulatory organization will make the portal available in January
Groups laud Saskatchewan's interest in higher standards
Model rules allow brokers to use continuing education to maintain status