The agreement is intended to bolster market oversight by helping the regulators share information
National and provincial regulators will have more to deal with in 2012 than they’ve had in quite some time
The goal is raise public awareness of the advantages of working with an IIROC-regulated firm and advisor
SROs to share information on firms and individuals, and collaborate on investigations and enforcement matters
More can be done by the professions and government to strike the right balance between competition and regulation
IIROC and the MFDA ask their members about getting together
Exemption applies for one year, or until SROs’ CRM rules take effect
SROs — not securities commissions — seem to favour investor protection
In fact, IIROC’s disciplinary decision rate has typically outpaced FINRA’s over the past five years
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