Keyword: Self-regulatory organizations

330 results found

The Office of Financial Innovation will lead the SRO's handling of fintech-related issues

Compliance officers still hoping for national regulator, SRO merger

The rep also received a lifetime ban

  • By: IE Staff
  • March 29, 2019 November 13, 2019
  • 11:27

A proposed rule change would better align the self-regulatory organization's provisions for information with those of OBSI

The SRO said the proposed changes would enhance the independence of its governance committee

Candidates must be officers or employees of a dealer

Compliance exams uncover an inappropriate one-size-fits-all approach

The court found that IIROC did not have to turn over more information about trading in the shares of Concordia International

Two former regulators join board of directors

Members will gather to elect directors

  • August 30, 2018 November 13, 2019
  • 15:45