Court rejects appeal of finding that firm could be prejudiced by settlement
Self-regulatory organization aims to harmonize with CSA's revised requirements
CIRO settles with firm over failure to question suspicious trading activity
Integration costs to be paid by 2027, SRO projects
CIRO decides discretionary, discount accounts for fund dealers won't be pursued as part of rulebook consolidation project
Both sides appealed rulings involving rep inheriting client's estate
Much of the industry's involvement may be outside the SRO's perimeter
Regulators call time on interim approach to onboarding crypto firms
Firm winding down after running into capital trouble
Organization launches pilot program to allow remote supervision