Home Self-regulatory organizations Page 11

Keyword: Self-regulatory organizations

330 results found
A gavel rests on its sounding block with a several law books and a justice scale out of fucus in the background. A cool blue cast dominates the scene. (A gavel rests on its sounding block with a several law books and a justice scale out of fucus in t

Ex-rep faces $2.5-million fine, ban for misappropriation

SRO panel delayed its decision pending proof of repayment that never came

vintage microphones

Executive moves this week

Desjardins, IG and CPP Investments made senior appointments

  • By: Katie Keir
  • February 28, 2023 February 28, 2023
  • 12:32

MX seeks members for new advisory committee

New governance structure to be adopted in second quarter

New SRO plans October business continuity test

The biennial exercise will be coordinated with the U.S. industry

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

Firms have immunity to aid SRO investigations, court rules

B.C. court strikes certain claims in rep's wrongful dismissal suit

plan idea

New circuit breakers for CDRs

Growth in Canadian depositary receipts prompts SRO to expand guidance on trading halts

On the Table Laptop Showing Statistics: Team of Politicians, Corporate Business Leaders and Lawyers Sitting at the Negotiations Table in the Conference Room, Trying to Come to an Agreement. stock photo

New SRO launches investor advisory panel

Dorothy Sanford, former head of MFDA IPC, heads new investor group

IIROC enforcement ended on a high as disciplinary activity rose in 2022

Fines levied against reps last year soared to $7.9 million from $938,000 in 2021

No-name SRO takes flight

The new agency's leadership is dominated by former IIROC personnel

Will the new SRO shake up title protection in Ontario?

The new self-regulatory organization is considering its role in the evolving regime