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Keyword: Self-regulatory organizations

323 results found
merger

CIRO takes step toward consolidated dealer rules

New SRO aims to harmonize requirements for fund dealers and investment dealers

Gavel and Money - Canada stock photo

Tribunal finds SRO panel erred

The IIROC panel overlooked evidence that a rep borrowed money rather than misappropriating it

Dispute at desk

SEC targets best-interest rules in broker reviews

Regulator's exam division sets compliance priorities for 2024

CIRO to step up fund dealer oversight in Quebec

AMF, provincial government approve delegation of powers to SRO

Wooden blocks with percentage sign and arrow up, financial growth, interest rate increase, inflation concept

With costs projected to increase 9% in fiscal 2024, CIRO’s fees are also heading higher

Fees for investment dealers to rise 6.4%, annual report says

Gavel and texts

CSA increased bans, fines in latest fiscal year

Regulators' year in review also detailed crypto oversight, CFR sweep

  • By: IE Staff
  • September 7, 2023 September 7, 2023
  • 13:33
advisor and client meeting

Championing improved investor outcomes

IFIC outlines current initiatives, from supporting CIRO to surveying investors

Follow the leader

SEC expands FINRA’s jurisdiction

New rule sharply narrows prop traders' SRO exemption

FINRA names new enforcement chief

Long-time SRO employee tapped to head division

Flat Illustration concept customer rating on tablets

CIRO plans industry-wide client research project

SRO to expand former MFDA project to all dealers in 2024