Keyword: Self-regulatory organizations

323 results found

SRO taps Steven Glover as new chair, brings Steven Donald back to board in new role

SRO committees focus on market regulation, fixed-income trading issues

Protection people health and insurance concept. Hand shield protect wooden human on table

Advocacy group calls for regulators to prioritize investor protection

Ex-fund rep misappropriated client money and disappeared

announcement

Regulators are also forming a new advisory committee to review SRO consolidation

  • By: IE Staff
  • June 27, 2022 June 28, 2022
  • 17:46
teamwork

Editorial: If the merger results in a more robust, investor-focused SRO, then short-term distractions can be forgiven

  • By: IE Staff
  • June 13, 2022 September 6, 2022
  • 00:02
Ontario Legislative Building at Queens Park in Toronto Ontario

Disappointment rests on a mistaken presumption, writes Ian Russell

Appointees will join new SRO's disciplinary committees

Modern office building close up in sunlight

The SRO detailed its policy priorities for the year

The Canadian Securities Administrators say the new SRO's CEO will be named in the coming weeks