Regulatory

Help clients understand your title Fallback Image Decorative pattern

Industry

Help clients understand your title

IIROC has launched a glossary of the financial certifications used by advisors.

By Staff |October 30, 2013

1 min read

Worried about CRM II? Prep with our new CE course Fallback Image Decorative pattern

Industry

Worried about CRM II? Prep with our new CE course

To help you prepare for the new requirements, industry guru André Fok Kam explains the ins and outs of CRM II’s performance reporting requirements in the latest addition to our Continuing Education offerings.

By Staff |October 18, 2013

1 min read

CSA wants to beef up auditor oversight Fallback Image Decorative pattern

Industry

CSA wants to beef up auditor oversight

The CSA today published for comment proposed amendments to NI 52-108 Auditor Oversight, which would give regulators greater insight into situations where the Canadian Public Accountability Board (CPAB) has imposed significant remedial actions on an audit firm.

By Staff |October 17, 2013

2 min read

IIROC proposes stricter oversight of order execution service accounts Fallback Image Decorative pattern

Industry

IIROC proposes stricter oversight of order execution service accounts

Oversight of OES accounts to tighten.

By Staff |October 16, 2013

1 min read

We use cookies to make your website experience better. By accepting this notice and continuing to browse our website you confirm you accept our Terms of Use & Privacy Policy.

Read More