IE Staff
© 2016 Investment Executive. All rights reserved.
Raymond James Ltd
- By: IE Staff
- January 15, 2016 October 30, 2019
- 00:00
© 2016 Investment Executive. All rights reserved.
Al Jones exemplifies association’s focus on community, promises consumer advocacy
Industry support is broader for proposed exam-based model
High-net-worth and incorporated clients look for guidance on complex changes
Industry at odds with CIRO’s proposals on maximum penalties and dispute resolution
Group seeks revisions to U.S. state rule that match SEC's Reg BI reforms
Panel dismisses call for stronger deterrence given risks posed by crypto, social media
The move is expected to reduce delays, simplify the banking complaints system