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
Former fund rep fined, banned by regulators for misappropriation
Some fees reduced to reflect existing OSC oversight of new SRO
Firms will have until Dec. 31, 2024, to adopt the name and logo on required disclosures