Firm admitted to lapses in oversight involving two reps as well as its options trading system
Guidance aims to allow more tailored setups for compliance officers
SRO to consider a return to live events in 2021
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
CSA consultation will focus on self-regulation, not necessarily consolidation
EY to take custody of troubled securities, allowing clients to move to new dealers
SRO files disciplinary charges as liquidator seeks to transfer clients' accounts
IIROC noted concerns about firm's oversight of a direct access client
Move to transaction-based benchmark follows LIBOR scandal