Canada’s new investment industry self-regulatory body is seeking regulatory approval to provide accreditation that will allow any individuals in Ontario who are licensed to sell securities or mutual funds to call themselves a financial adviser.
Now, several provinces are looking to tighten up the rules to protect investors from unqualified individuals, with Ontario laying the groundwork. Now, if approved, the new SRO will have the authority to grant credentials that permit the use of the title financial adviser for 47,000 financial professionals in Ontario - including those only licensed to sell mutual fund investments.
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