Canadian Investment Regulatory Organization recognized as a credentialling body

Regulators work together on title protection to eliminate regulatory duplication.

INVESTMENT | January 25 2024 10:55AM
Pre-signed forms costs firm’s chief executive officer $25,000

Markham, Ontario representative also the ultimate designated person and chief compliance officer.

INVESTMENT | November 07 2023 03:45PM
Regulator publishes competency profiles for approved persons

Fall request for proposal planned to find new education services vendor.

INVESTMENT | September 26 2023 10:45AM
Regulator orders credentialling bodies to complete annual returns

Newly published information returns available, must be completed by March 31.

INVESTMENT | January 18 2023 03:00PM
Remedial education and fine ordered for branch manager

Dealing representative also prohibited from acting as branch manager for 18 months after the discovery of pre-signed for…

INVESTMENT | October 25 2022 12:30PM
Ontario regulator approves another credential

The Canadian Securities Institute's Designated Financial Services Advisor (DFSA) designation can now be a credential for…

SOCIETY | September 02 2022 05:02PM
The Canadian Institute of Financial Planning joins list of credentialing bodies

There are now four credentialing bodies in Ontario who can grant and oversee the titles of Financial Planner and Financi…

INVESTMENT | June 10 2022 09:20AM