Showing 38 results for "IFIC Exam"

Maintaining Evidence of Relationship Disclosure

Mutual Fund dealers must maintain evidence that the required relationship disclosure has been provided to clients. If the relationship disclosure is incorporated into the New Account Application Form (NAAF) or…

Compliance

All mutual fund dealers are required to establish compliance practices that adhere to securities legislation. The Compliance System All mutual fund dealers are required to establish, maintain and apply a…

Registrant Responsibilities

Dealing representatives or mutual fund registrants have responsibilities to their clients, and they have ethical standards and legislation that they must follow.  How to behave being an MFD? You are…

Mutual Funds-Collecting Personal Information

In your role as a dealing representative, it is your duty to collect personal information from your client. You have an obligation to keep that information confidential. The collection, use,…

Mutual Fund Legislation

Mutual Fund legislation remains in order through 3 pillars. Let’s learn more about it: How are mutual fund dealers regulated? The mutual fund dealers industry is mainly regulated through the…

Securities Regulatory Bodies in Quebec

There are 2 securities regulatory bodies in Quebec; AML-Autorité de marchés financiers (AMF) and CSF-Chambre de la sécurité financière . Let’s understand their functions and power. AML Mutual fund dealers working…

Canadian Securities Administrators (CSA)

Canadian Securities Administrators is a policy-making body made up of members from the Securities Regulator. Its a place where Canada’s Securities regulators meet, to improve, coordinate and bring stability to…

Regulatory Environment

This is banking exams related post, specifically for Canadian Banks. In Canada, there are many regulatory bodies in the Mutual Fund industry. Some are at the provincial level and most…

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