The Mutual Fund Dealer CE Program will be ending on November 30, 2023. Program Administrators can access the Compliance Status se...
CN Editor
September 20, 2023
STREAMLINED ACCREDITATION PROCESS WITH CERTS CROSS-LISTING OPTION
DENVER-BASED EDUCATION PROVIDER ACQUIRES SEEWHY FINANCIAL LEARNING
FOR FINANCIAL PLANNERS, CONTINUING EDUCATION MATTERS MORE THAN EVER
DISGORGEMENT - PROPOSED AMENDMENTS TO THE MUTUAL FUND DEALER RULES
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OSC SEEKS TO ENFORCE D&O SANCTIONS
OSC SAYS IT"S CONDUCTING COMPLIANCE EXAMS ON SALES PRACTICES AT BIG 5 FUND DEALERS
FINANCIAL PLANNER LOSES CERTIFICATION OVER DISCRIMINATORY SOCIAL MEDIA POSTS
AS AI TAKES OFF, REGULATORS STRUGGLE TO KEEP UP