Meanwhile, the IFSE Institute notes that it has updated its ETF course to meet the requirements set out in the MFDA’s proposed rule
Reps made unsuitable recommendations in the sale of RCNs to retail clients
However, more work needs to be done as the total percentage of board seats occupied by women is just 12% vs 11% a year ago
New Fixed Income, Currency and Commodities Markets Standards Board in the U.K. may need to be global to be effective
European guidelines aim to protect consumers by improving links between the remuneration of sales staff and the fair treatment of retail investors
Panels will discuss issues such as blockchain technology, automated investment advice and more
Canada's population was 36.3 million as of July 1, StatsCan says
The association also recommends the CSA take a more tailored approach to reworking existing regulations rather than the proposed “targeted reforms”
The court order is part of IIROC’s bid to enhance the collection of the SRO’s enforcement sanctions
In addition, the regulator’s whistleblower program, introduced this summer, has already received more than 30 tips from prospective whistleblowers