Keyword: Self-regulatory organizations

330 results found

Consolidated rules and enhanced governance will be part of the changes

think outside of the box

Fund dealers' first CE cycle to kick off on Dec. 1

business man using magnifying glass to inspect documents

An oversight examination has uncovered just one "low-priority" issue with market surveillance

client meeting

The proposals are out for a 60-day comment period

IIROC also is looking at retail complaints and disgorgement, among other SRO priorities

change direction

Reporting changes will be rolled into a bigger project on complaints, investigations

The OSC advisory group is facing a long list of investor issues

business woman esg

Investor advisory panel would provide feedback on regulatory policy issues and initiatives

FINRA said it wants feedback on how its regulations and processes affect industry inclusion

The SRO argues a hearing panel erred by failing to impose a fine against a rep who misappropriated a client's money