We are strong advocates for modernizing advisor proficiency.

Read our comment letters to learn more about key issues we care about.

CIRO Proposed Proficiency Model - Approved Persons under the Investment Dealer and Partially Consolidated Rules (Read)

CIRO Consultation Paper - Proposed Proficiency Model - Approved Persons under the Investment Dealer and Partially Consolidated Rules (Read)

CSA Staff Notice 25-304 - Application for Recognition of New Self-Regulatory Organization (Read)

MFDA Proposed New Policy No. 11 (Proficiency Standards for the Sale of Alternative Mutual Funds) (Read)

OSC Notice 11-794 – Statement of Priorities (Read)

CSA Position Paper 25-404 - New Self-Regulatory Organization Framework (Read)

CSA - Continuing Education Accreditation Reform Letter - 2021 (Read)

IIROC Consultation Paper 20-0174 - Competency Profiles for Registered and Investment Representatives (Read)

CSA Consultation Paper 25-402 - Consultation on the Self-Regulatory Organization Framework (Read)

Comments to the Ontario Ministry of Finance on the Capital Markets Modernization Taskforce (Read)

Proposed Amendments to MFDA Policy No. 9 Continuing Education (“CE”) Requirements (Read)

CSA - Proposal to Develop Alternative Mutual Fund Proficiency Training (Read)

MFDA Continuing Education (CE) Accreditation Process - #0788-P (Read)

IIROC Continuing Education Rules - Proposed Amendments - 19-0117 (Read)