The SRO has adopted an early settlement program but scrapped its plan for punishing minor violations
The regulator is giving firms until April 19 to reveal plans to comply with new guidance
A joint notice from IIROC and the CSA outlines plans to regulate the fledgling sector
IIROC outlined the challenges for firms and regulators in a new report
There is no evidence that video hearings are unfair, regulator rules
Prevention is the best approach to dealing with the issue, regulators say
The association delivered its proposed roadmap to inform a CSA decision due this summer
Proposal would set 70% margin rate for structured products
Regulators are weighing options for the future of the self-regulatory framework
The deadline for dealers to nominate candidates is March 12