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Regulation
& Licensure
Emerging Standards for Securities Licensure
On behalf of IOSCO, we examined emerging standards for securities licensure
in some 39 countries. The study focused on six areas: Education, Evaluation,
Ethics, Experience, Supervision and Continuing Education. The report identified
nine de facto standards that have emerged around the world and pointed to
several other practices likely to emerge as standards in the future.
Financial Planner of the Future
This study had three components. It began with a set of opinion leader
interviews that examined how consumer needs for financial planning would
change over the next five years, as well as changes in the work itself.
We also identified the type and amount of learning of different topics
that it would take to prepare a financial planner in this changing environment.
The ideal identified by opinion leaders was compared to current course
offerings to identify remediation needs. This was balanced with a content
analysis that identified consumer issues based on the books and magazines
they read. Ultimately, the results of this study formed the basis for
a later study that set the criteria for licensing financial planners.
Blueprint for the OSC Financial Planner Exam
Worked with the OSC and several groups training planners to develop a
blueprint for a comprehensive financial planner examination. Agreement
was reached on the nature and the balance of exam content
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