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Company: Investment Industry Regulatory Organization of Canada

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Open law book with a wooden judges gavel on table in a courtroom or law enforcement office isolated on white background

Firm admitted to lapses in oversight involving two reps as well as its options trading system

compliance solutions rubber stamp

Guidance aims to allow more tailored setups for compliance officers

man using laptop

SRO to consider a return to live events in 2021

Businessman takes bag of money from another businessman.

Proposal is one of several set out in SRO's priorities for the current year

Female tax inspector looking at corporate financial documents with magnifying glass

Examination of the self-regulatory framework runs until Oct. 23

tax inspector investigating financial documents through magnifying glass, forensic accounting or financial forensics, inspecting offshore company financial papers, documents and reports.

CSA consultation will focus on self-regulation, not necessarily consolidation

Court.

EY to take custody of troubled securities, allowing clients to move to new dealers

Judge gavel, scales of justice and law books in court

SRO files disciplinary charges as liquidator seeks to transfer clients' accounts

Law concept - Law book with a wooden judges gavel on table in a courtroom or law enforcement office

IIROC noted concerns about firm's oversight of a direct access client

Close of businesswoman making announcement in paper trumpet

Move to transaction-based benchmark follows LIBOR scandal