Regulators will review "a sizable number" of firms, a panellist said at KYP webinar
Two women were recognized for achieving high standing
Fund dealers' first CE cycle to kick off on Dec. 1
The overall pass rate was 72% for the latest sitting
Applicants will still be required to submit a comprehensive financial plan and complete a technical exam
Report highlights record number of exam candidates in the past fiscal year
SRO has yet to finalize its approach to determining which courses will qualify
FP Canada said that 1,832 candidates combined took the two exams in November
Industry research can make advisors feel vulnerable. Use that feeling as a call to action.
If you’re an MFDA advisor, expect a published rule on continuing education (CE) requirements late this year or early 2018. Read: IIROC continuing education rules are here The self-regulatory organization (SRO) aims for CE requirements “to establish minimum standards for individuals to keep their industry knowledge current and maintain a high standard of professionalism.” Before […]