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Title reg puts credentialing bodies to the test


This article appears in the March 2021 issue of Advisor’s Edge
Completing coursework, writing exams and paying fees are part of any credential. While you may be aware of these responsibilities as a credential holder, you may not have considered your credentialing body’s responsibilities in ensuring your credential is rigorous.
It’s a timely consideration as the financial industry moves toward title regulation. Ontario is consulting on regulating “financial advisor” (FA) and “financial planner” (FP) titles, and Saskatchewan will soon follow. Quebec has regulated “financial planner” and restricted other titles since 1998.
To call yourself an FA or FP in Ontario, you’ll have to back up your title with an approved credential from an approved credentialing body. The idea is to create minimum standards so clients can be confident when they hire you. ....

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Time to speed up policymaking? | Investment Executive


James Langton
The first wave of covid-19 put regulatory policymaking on pause last spring, but as the second wave rages, a vision for post-pandemic regulation is taking shape.
Ordinarily, the Ontario Securities Commission (OSC) holds a consultation each spring on its policy priorities for the coming year. Last year, however, the OSC skipped this exercise, as the investment industry and regulators scrambled to deal with the pandemic’s immediate economic, financial and operational effects.
Having scrapped the traditional springtime consultation, the OSC instead issued its proposed priorities for fiscal 2022 in mid-November. The responses to those priorities reveal how the pandemic is shaping expectations for the future of regulation. ....

Rod Phillips , Louis Morisset , Peter Bethlenfalvy , Investor Advisory Panel , Broadridge Investor Communications Corp , Fund Facts , Capital Markets Association Of Canada , Advisory Panel , Fidelity Investments Canada , Broadridge Investor Communications , Private Capital Markets Association , Canadian Securities Administrators , Independent Financial Brokers , தடி பிலிப்ஸ் , லூயிஸ் மோரிசெட் , பிராட்ரிட்ஜ் முதலீட்டாளர் தகவல்தொடர்புகள் கார்ப் , நிதி உண்மைகள் , மூலதனம் சந்தைகள் சங்கம் ஆஃப் கனடா , நம்பகத்தன்மை முதலீடுகள் கனடா , பிராட்ரிட்ஜ் முதலீட்டாளர் தகவல்தொடர்புகள் , ப்ரைவேட் மூலதனம் சந்தைகள் சங்கம் , சுயாதீனமான நிதி தரகர்கள் ,