IIROC revises the deadline due to technical complexity, risk
The April deadline has been pushed to July
The proposals are out for a 135-day comment period
An IIROC panel found the firm deliberately decided not to comply with position cost reporting requirements
The extension is attributable to the pandemic
Regulators provide 45-day extensions for filings, comment periods
Suitability remains investors’ top complaint, OBSI says
Phone recording requirements are a key concern for home-bound workers
SROs and dealers are activating business continuity plans
The SRO will set up an advisory group that represents the investor perspective