Jan 31, 2023 | Investment Funds, Regulatory Compliance
The Financial Services Regulatory Authority of Ontario (FSRA) announced in December that it was giving industry participants that use the title of “financial advisor” or “financial planner” more time to comply with its Financial Professionals Title Protection...
Mar 31, 2022 | Investment Funds, Regulatory Compliance
As reported in a number of previous AUM Law bulletins, the Financial Services Regulatory Authority of Ontario (FSRA) had released Rule 2020-001 Financial Professionals Title Protection under the Financial Professionals Title Protection Act, 2019, the purposes of which...
