Industry News

Tim Moseley named OSC vice-chair

Tim Moseley has been appointed vice-chair of the OSC for a two-year term, effective Nov. 29, 2017. Prior to his appointment, he served as an OSC commissioner and as chair of the adjudicative committee. Moseley has more than 20 years of experience in compliance and enforcement, including in civil and regulatory proceedings. His previous experience […]

By Staff |December 1, 2017

1 min read

Industry

U.S. millennial advisors adopting financial planning services

On average, a millennial advisor offers 5.1 planning services, compared with 4.6 for both gen X and boomer advisors

By Staff |November 30, 2017

1 min read

Industry

IIROC continuing education rules are here

For IIROC registrants, the new year comes with new continuing education (CE) rules. The SRO confirmed in a release that the new rules will be effective Jan. 1, 2018, when the CE cycle will move from a three-year cycle to a two-year cycle. Read: Digging into IIROC’s proposed CE requirements Changes from the March 2017 […]

By Staff |November 30, 2017

1 min read