Regulators propose measures to help firms protect vulnerable clients
A simple IIROC-MFDA merger won't fix investors' issues, Kenmar argues
A new paper envisions a single SRO, with the CSA taking responsibility for market regulation
SRO develops accreditation process amid divergent industry reaction
Rep admitted gambling away money taken from clients
The SRO hopes its CE system will be working by end of this year
The industry group is calling on regulators to develop a proficiency regime for fund reps
The former head of W.H. Stuart Mutuals Ltd. was also ordered to pay restitution
New compliance targets have emerged from the SRO's data analysis efforts
Mutual fund dealers would like to join the ETF world, but hurdles abound