IIAC to Manitoba: Titles are Regulated by CSA and CIRO

September 29, 2023 by Public Affairs

On September 29, 2023, the IIAC advised that investors need financial advice and planning, not bureaucracy created to justify too many regulators in the same space. Investors have received financial planning advice by individuals properly registered and supervised by the Manitoba Securities Commission, the balance of the CSA and CIRO, including those with ‘financial advisor’ or ‘financial planner’ titles for many years. These regulators review credentials, titles, and conduct.

If individuals registered with CIRO or CSA members to provide advice only with respect to securities have clients who require non-securities advice, they are referred to qualified individuals with respect to non-securities matters in accordance with s. 13.8 of National Instrument 31 -103.

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