The regulator altered several aspects of the plan to adopt a consolidated audit trail in response to public comments and recommendations from the SROs
Although the provinces have not moved yet on the effort to see the creation of an SRO for advisors, clients could help tip the scale in that direction, experts say
Fines need to be paid, not just levied
The SRO will focus instead on participating in the CSA’s initiative to enhance proficiency requirements in the investment industry and other “targeted reforms”
The self-regulatory organization releases its annual report for 2015-2016
The SRO’s new strategic plan points out it will look at a possible “best interest” standard and regulatory restructuring, among other key issues
Karen McGuinness, sr. vice president, member regulation – compliance, Mutual Fund Dealers Association of Canada, discusses three initiatives of interest to advisors: CE requirements; proficiency standards for the title “financial planner”; and the Seniors Summit.
Configuration error found in new version of Series 24 supervisory exam
SRO members gather to elect directors
The SRO is seeking public input to assist with the process of re-evaluating its current strategic objectives and priorities