Keyword: Self-regulatory organizations

330 results found
Concept of entering 2023 with uncertainty

The Canadian regulatory landscape will be fundamentally altered in 2023

Trade group calls on provincial finance minister to review fund dealer oversight

merger

Provincial regulators finalized recognition orders and interim rules

Regulator sets out draft priorities for fiscal 2024

SRO gets green light to help finance initial merger costs

Master switch

For now, there are still operational hurdles that carry upfront costs

  • By: Katie Keir
  • October 11, 2022 October 11, 2022
  • 00:06

MFDA, IIROC seek members for investor panel, deadline Nov. 7

The new organization is looking at joint oversight that rotates among CSA jurisdictions

a woman entering a door of unknown mystery

Editorial: Regulatory secrecy prevented public scrutiny of the planned transformation — including concessions made to dealers to earn support for the merger

  • By: IE Staff
  • October 3, 2022 September 30, 2022
  • 09:00

How the new self-regulatory organization will handle fees, advisor incorporation, rule harmonization and more