Licensing – Investment Executive https://www.investmentexecutive.com Canada's news source for financial professionals Fri, 23 Jun 2023 21:14:21 +0000 en-US hourly 1 https://wordpress.org/?v=5.9.3 https://www.investmentexecutive.com/wp-content/uploads/sites/3/2018/01/cropped-favicon-1-32x32.png Licensing – Investment Executive https://www.investmentexecutive.com 32 32 Former life agent fined for client servicing scheme https://www.investmentexecutive.com/news/from-the-regulators/former-life-agent-fined-for-client-servicing-scheme/ Fri, 23 Jun 2023 21:14:21 +0000 https://www.investmentexecutive.com/?p=467929 FSRA brought similar allegations against the agent earlier this year

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]]> Life agent sanctioned for client service scheme, churning https://www.investmentexecutive.com/news/from-the-regulators/life-agent-sanctioned-for-client-service-scheme-churning/ Fri, 02 Jun 2023 19:43:25 +0000 https://www.investmentexecutive.com/?p=466779 New agent allegedly split commissions with ex-agent, churned those clients

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]]> FSRA details licensing, CE extension for life agents https://www.investmentexecutive.com/news/from-the-regulators/fsra-details-licensing-ce-extension-for-life-agents/ Mon, 27 Apr 2020 20:38:34 +0000 https://www.investmentexecutive.com/?p=399567 The extension applies to licences that expire between March 15 and June 30

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]]> IIROC, B.C. regulator to strengthen consumer protection https://www.investmentexecutive.com/news/from-the-regulators/iiroc-b-c-regulator-to-strengthen-consumer-protection/ Mon, 20 Jun 2016 16:50:00 +0000 https://www.investmentexecutive.com/uncategorized/iiroc-b-c-regulator-to-strengthen-consumer-protection/ The self-regulatory organization has signed a memorandum of understanding with the Insurance Council of British Columbia

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]]> FSCO monitoring other regulators’ disciplinary actions https://www.investmentexecutive.com/news/from-the-regulators/fsco-monitoring-other-regulators-disciplinary-actions/ Wed, 05 Nov 2014 18:40:00 +0000 https://www.investmentexecutive.com/uncategorized/fsco-monitoring-other-regulators-disciplinary-actions/ Misconduct by a dually licensed agent may result in having the agent’s insurance license revoked or suspended

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]]> Life agent denied licence for expired E&O insurance https://www.investmentexecutive.com/news/from-the-regulators/life-agent-denied-licence-for-expired-eo-insurance/ Thu, 12 Jun 2014 12:40:00 +0000 https://www.investmentexecutive.com/uncategorized/life-agent-denied-licence-for-expired-eo-insurance/ Errors and omissions insurance is necessary to protect consumers: FSCO

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]]> Major concerns with proposed law https://www.investmentexecutive.com/inside-track_/keith-costello/major-concerns-with-proposed-law/ Sun, 09 Mar 2014 20:30:00 +0000 https://www.investmentexecutive.com/uncategorized/major-concerns-with-proposed-law/ There are three key issues of contention with the private member’s bill that aims to regulate financial advisors in Ontario

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]]> Ontario bill would regulate advisors https://www.investmentexecutive.com/news/industry-news/ontario-bill-would-regulate-advisors/ Tue, 18 Feb 2014 22:30:00 +0000 https://www.investmentexecutive.com/uncategorized/ontario-bill-would-regulate-advisors/ Private member’s bill proposes new regulatory body to levy penalties and revoke licenses

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]]> Raising the professional bar? https://www.investmentexecutive.com/inside-track_/keith-costello/raising-the-professional-bar/ Mon, 10 Feb 2014 15:45:00 +0000 https://www.investmentexecutive.com/uncategorized/raising-the-professional-bar/ The Advocis proposal will cause unnecessary duplication and cost for the oversight of financial advisors, and it misses the mark for regulating financial planners

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]]> B.C. insurance regulator suspends agent https://www.investmentexecutive.com/news/from-the-regulators/b-c-insurance-regulator-suspends-agent/ Tue, 21 Jan 2014 19:40:00 +0000 https://www.investmentexecutive.com/uncategorized/b-c-insurance-regulator-suspends-agent/ Part-time agent’s improper use of database results in 18-month suspension

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