Firm admitted to serving retail investors before SRO approvals, systems in place
Proposal revises conservative approach initially sought by IIROC
CIRO proposes to focus on exams instead
Gravitas Securities suspended after repeated shortfalls, failure to file financials
CIRO says rep failed to meet gatekeeper obligations by ignoring suspicious trading
Industry braces for technical challenges as new disclosures take effect
Conflict of interest concerns spark regulators' review
Integrating the SROs' compliance and enforcement functions is a top priority alongside policy work
Commission structures, account transfer standards and dual registration are all in the works
Countdown to shorter settlement cycle transition in May 2024 has begun