Association says the current structure of the self-regulatory model is widely viewed to be outdated and in need of reform
SRO considers dropping sections that give district councils the power to suspend or terminate a dealer
In its 2011-2012 annual report, the self-regulatory organization notes that some other fees will decrease
Agreement will facilitate the exchange of information, and support collaboration on investigations
Costs from a new self-regulatory organization for investment advisors could force many small firms to close
Limited oversight of compensation and governance issues
A case underway before the MFDA shows how the divvying up of regulation may compromise investors
The changes are being put forward in response to the provincial securities regulators’ registration reform rules
Only about 50% of sanctions ever collected
Policy-makers are set to continue refining the new capital requirements that will affect all global banks with the introduction of the Basel III capital regime, which will start taking effect next year
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