by admin | Jan 31, 2017 | Blog, Regulatory
The “Client Relationship Model” (CRM) is a series of initiatives that touch on every aspect of the relationship between investors and participants (including dealers and advisors) in the investment industry. Through CRM, investors will get clear, thorough,...
by admin | Jan 24, 2017 | Blog, Industry Insights
To better understand the attitudes and opinions of Canadian mutual fund holders, the Investment Funds Institute of Canada (IFIC) commissioned independent research firm Pollara to conduct a national study. The latest report – Canadian Mutual Fund Investors’ Perceptions...
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...
