SRO curbs exemptions, toughens firms' approval requirements
Self-regulatory organization consults on proposed disgorgement distribution policy
Approval regime, proficiency are among areas covered in latest consultation
Court rejects appeal of finding that firm could be prejudiced by settlement
Self-regulatory organization aims to harmonize with CSA's revised requirements
CIRO settles with firm over failure to question suspicious trading activity
Integration costs to be paid by 2027, SRO projects
CIRO decides discretionary, discount accounts for fund dealers won't be pursued as part of rulebook consolidation project
Both sides appealed rulings involving rep inheriting client's estate
Much of the industry's involvement may be outside the SRO's perimeter