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Keyword: Self-regulatory organizations

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Regulators flexible in the face of emergency

Phone recording requirements are a key concern for home-bound workers

MFDA calls for regional council volunteers

Council members sit on the SRO's disciplinary panels

Regulatory overhaul?

MFDA proposes creation of new, comprehensive SRO for registered firms

Shot of two businesspeople working together on a laptop in an office

IIROC aims to add retail investor expertise to its board

The SRO has revised its criteria for independent directors

CSA should review SROs from scratch, investor advocates say

A simple IIROC-MFDA merger won't fix investors' issues, Kenmar argues

IIROC calls for district council volunteers

Nominations due March 16

Updated: MFDA proposes SRO overhaul

A new paper envisions a single SRO, with the CSA taking responsibility for market regulation

MFDA mulls feedback on CE program

SRO develops accreditation process amid divergent industry reaction

Taxpayer's desk and excise documents to import and export industrial goods for the purpose of maximizing profits for large business organizations. (Taxpayer's desk and excise documents to import and export industrial goods for the purpose of maximizin

IIROC board adds former Nova Scotia public sector exec

Victoria Harnish will serve a two-year term

  • By: IE Staff
  • January 30, 2020 January 30, 2020
  • 14:35
Partners discussing new plans

Aspiring investors skeptical of industry regulation: survey

An IIROC survey reveals gaps in current and aspiring investors' views on regulation