IIROC proposal raises concerns
Tougher penalties for failing to meet CE requirements will be delayed until the end of the new CE cycle
Securities regulators extend mutual fund-only exemption
The SRO is better positioned to collect the sanctions it levies against individuals in Ontario: It now can enforce its disciplinary orders in court
IIROC rolls out enhanced resources for investors
Board re-appoints Marianne Harris as chairwoman; Paul Allison appointed vice chairman
Applications to the self-regulatory organization are due Oct. 15
The two regulators aim to bolster investor protection
IIROC sanctions firm for supervisory failures
FINRA’s alert reinforces the SEC’s and CSA’s conclusions that certain ICOs may be considered securities