Keyword: Self-regulatory organizations

330 results found
Entrance to Financial Services Regulatory Authority of Ontario

Some fees reduced to reflect existing OSC oversight of new SRO

Firms will have until Dec. 31, 2024, to adopt the name and logo on required disclosures

rules and regulations

Changes to dealer rules, trading rules aim to facilitate shorter settlement cycle

CSA and CCIR finalize CRM3 rules, give industry until 2026 to adopt

An Ontario court rejected an appeal over IIROC sanctions

New branding would replace existing logos by the end of 2024

Bond counselling

The regulator intends to be a credentialing body under the province's title protection regime

Panel concluded that rep was participating in proceeding anonymously

Quebec court cites statutory immunity in dismissing claim

Business lawyer team. Working together of lawyer in the meeting.

The case can either proceed to a contested hearing or the two sides may seek a new deal