by admin | Jan 17, 2017 | Blog, Study Tips
Taking professional development courses as an adult can be a challenge. You’re no longer a full-time student with little to worry about besides getting to that 8 a.m. class after a late-night cram session. Now, you have a demanding career, maybe a family and many...
by admin | Jan 10, 2017 | Blog, Regulatory
The final stage of Client Relationship Model – Phase 2 (CRM2) will be rolled out by most dealers in early 2017. That means preparing for important conversations with clients about new information they will see on their investment account statements. There are two main...
by ext | Dec 13, 2016 | Blog, Careers
Featured student: Jatinder Bajwa IFSE course: Branch Managers’ Examination Course (BM) Within the highly regulated, compliance-focused financial services industry, today’s Branch Manager or Branch Compliance Officer faces many complex issues and takes...
by admin | Dec 6, 2016 | Blog, Regulatory
We’ve all heard about the controversy and consequences surrounding security breaches of personal information. Even as technology continues to advance, challenges remain concerning the collection and use of personal information. In 2015, Canada’s Digital Privacy Act...
by admin | Nov 29, 2016 | Blog, Regulatory
Before a conventional mutual fund manufacturer can sell securities to investors, it must prepare several documents and file them with the appropriate securities regulator. One of those documents is the simplified prospectus. What is a conventional mutual fund? A...
by ext | Nov 22, 2016 | Blog, Careers
One of the most popular career choices in financial services today is that of financial advisor. A financial advisor plays a crucial role in helping investors achieve their goals such as saving for retirement, funding their children’s education, or buying a...
