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Aug 13, 2017 | CPD Continuing Professional Development, FAIS, FAIS Credits, Fit and proper, FPI, FSB, FSB Fit and Proper, INSETA, learner ships, NC Wealth Management 57608, QCTO, Regulatory exams

Men at Work – Development on new systems Bill Botes spent the morning with me yesterday, and he then worked on getting the Moodle site back up and running after the hacking event of a while ago. Soon we will be providing support online for self study,...

FAIS Credits and Possible Debarment by FSB

Nov 17, 2016 | CPD, CPD Continuing Professional Development, Debarred by FSB, DOFA Date, FAIS, FAIS Credits, FSB, FSB Fit and Proper, NC Wealth Management 57608, Regulatory exams, RPL

As we reach the end of the year is surprises me that I am still receiving calls from financial advisers who are going to be debarred in January due to their DOFA date with the FSB and want to know what I can do to help them. The required qualification is a National...

RSC Update of Website

Jan 11, 2015 | CFP, CPD, CPD Continuing Professional Development, FAIS, FPI, FSB, INSETA, NC Wealth Management 57608, News, Regulatory exams

RSC has completed an update of their website which now leads potential learners through the maze of competing the following requirements for FAIS “Fit and Proper” What courses are available What do do with existing credits How to get the right...

How to become a broker

Aug 17, 2013 | CFP, CPD, CPD Continuing Professional Development, FPI, FSB, Regulatory exams

One of my graduate students on a Wealth Management learner-ship asked me to advise him on what they need to do to become a broker and i decided to write this post. Brand new people to the industry need to gain time on the job and practical experience before they can...

FAIS Level 2 Regulatory Exams

Aug 4, 2013 | CPD, CPD Continuing Professional Development, FSB, Regulatory exams

The FSB has postponed these exams, until a date to be determined by the FSB. They want to have a look at the qualifying criteria and method of delivery for these exams as they feel the current criteria are no longer valid and there have been a large number of...
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