SRO reform can lead to a better outcome for dealers and their clients
The CSA framework is an important first step, but more details are required, writes the vice president of IIAC
The self-regulatory organization calls on fund dealers to participate in policy consultations
Investors, industry pan the OSC's DSC preservation proposals
Why SROs work well for investors and the industry
Guidance aims to allow more tailored setups for compliance officers
A court ruling against the SEC has implications for Canada
A ban on trailers for discounters, a stronger OBSI and protecting seniors remain priorities for the CSA
Proposal is one of several set out in SRO's priorities for the current year
Examination of the self-regulatory framework runs until Oct. 23