Ian Russell responds to comments on his opinion piece on SRO consolidation
Regulators harmonize exemptions and enhance disclosure requirements
SRO reform should serve the public interest and investors’ needs, writes John Carson of FAIR Canada
No issues found in targeted review of SRO's enforcement function
SRO reform can lead to a better outcome for dealers and their clients
The CSA framework is an important first step, but more details are required, writes the vice president of IIAC
The self-regulatory organization calls on fund dealers to participate in policy consultations
Investors, industry pan the OSC's DSC preservation proposals
Why SROs work well for investors and the industry
Guidance aims to allow more tailored setups for compliance officers