Keyword: Self-regulatory organizations

323 results found

IIROC publishes its version of the CSA's CFRs, which take effect in 2021

SRO to host online event Nov. 27, second session on Dec. 17

rules and regulations

Industry raises concerns with proposed standards for advisor, planner titles

Partners discussing new plans

The average client has $75,000 in assets and is saving for retirement, an MFDA report says

stock market

Proposals would enable the regulation of derivatives trading on exchanges

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SRO aims to boost annual revenues by US$225 million by 2024

Overlapping regulatory agendas will require constructive coordination

  • By: Ian Russell
  • September 23, 2020 September 23, 2020
  • 16:39

Board has three new members

  • By: IE Staff
  • September 23, 2020 September 23, 2020
  • 14:48

Respondents to a poll favoured enhanced oversight and comprehensive SRO reform

Saskatchewan field with old bridge

The interests of portfolio managers' clients are better protected under the current system of regulatory oversight, argues PMAC president