Engaging with regulators is an important part of ensuring new rules are implemented effectively
SRO sets out "technology-neutral" stance to record retention
Research from IIROC reveals Canadians want flexible, accessible and personalized advice
Amendments include changes to suitability, know-your-client, conflict of interest and disclosure provisions
Talk of merging the SROs has surfaced repeatedly over the years
Almost two-thirds of respondents said they didn't know the options for getting investment advice
In 2020, regulators will grapple with harmonization, tech and climate change, predicted speakers at the Toronto Refinitiv Summit
The association says an IIROC proposal should apply only to employees directly involved in client dealings
Reviewing common disciplinary actions can help protect your practice
The new guidance, which takes effect in June, will reflect recent changes to AML obligations