Keyword: Self-regulatory organizations

330 results found
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The SRO has revised its criteria for independent directors

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

Nominations due March 16

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

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

Victoria Harnish will serve a two-year term

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

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

The guidance overhaul follows a plain-language rulebook rewrite

Talk of merging the SROs has surfaced repeatedly over the years

The MFDA's auditors and directors were also approved at the meeting