Self-regulatory organizations – Investment Executive https://www.investmentexecutive.com Canada's news source for financial professionals Wed, 27 Nov 2024 19:44:48 +0000 en-US hourly 1 https://wordpress.org/?v=5.9.3 https://www.investmentexecutive.com/wp-content/uploads/sites/3/2018/01/cropped-favicon-1-32x32.png Self-regulatory organizations – Investment Executive https://www.investmentexecutive.com 32 32 FINTRAC aiming to provide crucial info in real time https://www.investmentexecutive.com/news/from-the-regulators/fintrac-aiming-to-provide-crucial-info-in-real-time/ Wed, 27 Nov 2024 19:44:48 +0000 https://www.investmentexecutive.com/?p=497573 Agency will work with businesses and federal partners to move more quickly in the fight against money laundering and terrorist financing

The post FINTRAC aiming to provide crucial info in real time appeared first on Investment Executive.

]]> CIRO poised to take over dealer registration https://www.investmentexecutive.com/news/from-the-regulators/ciro-poised-to-take-over-dealer-registration/ Wed, 20 Nov 2024 18:37:45 +0000 https://www.investmentexecutive.com/?p=497037 OSC to delegate registration to CIRO, rest of CSA considering it too

The post CIRO poised to take over dealer registration appeared first on Investment Executive.

]]> FINRA poised to hike brokers’ fees https://www.investmentexecutive.com/news/from-the-regulators/finra-poised-to-hike-brokers-fees/ Tue, 12 Nov 2024 20:46:54 +0000 https://www.investmentexecutive.com/?p=496555 Fee increase to be phased in over five years, bring projected revenues in line with expenses

The post FINRA poised to hike brokers’ fees appeared first on Investment Executive.

]]> CIRO taps Fitch Learning for new proficiency model https://www.investmentexecutive.com/news/from-the-regulators/ciro-taps-fitch-learning-for-new-proficiency-model/ Fri, 08 Nov 2024 14:00:36 +0000 https://www.investmentexecutive.com/?p=496316 Firm to help build infrastructure for new exam-based approach to reps' education

The post CIRO taps Fitch Learning for new proficiency model appeared first on Investment Executive.

]]> CIRO proposes overhaul of arbitration program https://www.investmentexecutive.com/news/from-the-regulators/ciro-proposes-overhaul-of-arbitration-program/ Thu, 31 Oct 2024 19:11:45 +0000 https://www.investmentexecutive.com/?p=495842 Reforms would extend program to fund dealers, expand monetary limits, fund certain costs

The post CIRO proposes overhaul of arbitration program appeared first on Investment Executive.

]]> FINRA tightens rules around client lending https://www.investmentexecutive.com/news/from-the-regulators/finra-tightens-rules-around-client-lending/ Wed, 23 Oct 2024 19:54:26 +0000 https://www.investmentexecutive.com/?p=495351 SRO curbs exemptions, toughens firms' approval requirements

The post FINRA tightens rules around client lending appeared first on Investment Executive.

]]> CIRO revisits returning money to harmed investors https://www.investmentexecutive.com/news/from-the-regulators/ciro-revisits-returning-money-to-harmed-investors/ Mon, 21 Oct 2024 20:42:23 +0000 https://www.investmentexecutive.com/?p=495179 Self-regulatory organization consults on proposed disgorgement distribution policy

The post CIRO revisits returning money to harmed investors appeared first on Investment Executive.

]]> CIRO unveils next wave of rule consolidation https://www.investmentexecutive.com/news/from-the-regulators/ciro-unveils-next-wave-of-rule-consolidation/ Thu, 17 Oct 2024 20:40:49 +0000 https://www.investmentexecutive.com/?p=494971 Approval regime, proficiency are among areas covered in latest consultation

The post CIRO unveils next wave of rule consolidation appeared first on Investment Executive.

]]> SRO investigation clashes with legal action https://www.investmentexecutive.com/news/from-the-regulators/sro-investigation-clashes-with-legal-action/ Wed, 16 Oct 2024 13:32:33 +0000 https://www.investmentexecutive.com/?p=494849 Court rejects appeal of finding that firm could be prejudiced by settlement

The post SRO investigation clashes with legal action appeared first on Investment Executive.

]]> CIRO proposes total cost reporting rules https://www.investmentexecutive.com/news/from-the-regulators/ciro-proposes-total-cost-reporting-rules/ Thu, 10 Oct 2024 19:11:14 +0000 https://www.investmentexecutive.com/?p=494471 Self-regulatory organization aims to harmonize with CSA's revised requirements

The post CIRO proposes total cost reporting rules appeared first on Investment Executive.

]]>