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
The SRO has made significant progress in achieving the priorities laid out in our three-year strategic plan
Board members bring valuable perspectives, CEO says
The firm, which has been suspended since January 2017, held no client assets and was deemed “effectively insolvent”
The self-regulatory organization aims to improve its surveillance capability