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
Rep admitted to unapproved outside dealings with clients
Fund industry SRO shoots down consolidation, reiterates call for overhaul
New paper promises huge payoff from SRO consolidation
Regulators will use feedback to develop guidance
Dealers and representatives face issues due to CSI exams being suspended
CSA rule changes aim to expand investor access to debt trading data
The nominees have experience with senior and vulnerable investors