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Your search keyword '"Investment advisers -- Practice -- Laws, regulations and rules"' showing total 2 results
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2 results on '"Investment advisers -- Practice -- Laws, regulations and rules"'

1. Big money for advisers who switch firms turns clients into pawns

Author

Shufelt, Tim and O'Hara, Clare

Subjects
Investment advisers -- Practice -- Laws, regulations and rules, Counselor and client, Government regulation, General interest, News, opinion and commentary
Abstract

Byline: TIM SHUFELT, CLARE O'HARA If you, like millions of Canadians, work with an investment adviser, there's a good chance they will decide to switch firms at some point, leaving [...]

Published
2023

2. Ontario approves new rules for financial planners, advisers; Qualifications, credentials will become mandatory for people who refer to themselves by either title

Author

O'Hara, Clare

Subjects
Financial planners -- Practice -- Laws, regulations and rules, Investment advisers -- Practice -- Laws, regulations and rules, Financial services industry -- Officials and employees -- Laws, regulations and rules, Government regulation, Financial services industry, General interest, News, opinion and commentary
Abstract

Byline: CLARE O'HARA; Staff Ontario's Finance Ministry has given the green light for a new set of rules governing employees in the financial services industry who use the titles 'financial [...]

Published
2022

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