Group rejects proposed fee exemptions for self-regulatory organization and calls for greater advisor proficiency
Integrating the SROs' compliance and enforcement functions is a top priority alongside policy work
SRO ordered US$48.1 million in monetary penslties in 2022
Commission structures, account transfer standards and dual registration are all in the works
IFIC’s busy agenda includes total cost reporting, new SRO, research and more
SRO expels brokerage over widespread regulatory violations
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
Changes to dealer rules, trading rules aim to facilitate shorter settlement cycle
CSA and CCIR finalize CRM3 rules, give industry until 2026 to adopt