Keyword: Self-regulatory organizations

330 results found

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

Advisors who leave the industry to avoid investigations and hearings suffer more severe penalties

Ontario judge sides with MFDA in attempt to collect sanctions

papers on a desk

Interim rules coming in May, with new CEO, board to be named in Q2