New fees would recover the cost of IIROC’s new debt market oversight responsibilities
Barclay’s Joe Mecane brings expertise in market structure issues
Rep failed to use due diligence in recommending client purchase leveraged ETFs
CSA report flags IIROC’s enforcement and business conduct compliance departments
Single reference sets out dealer and marketplace fee models
New guidance spells out SRO’s expectations
With the CSI's exclusive contract coming to an end in January 2016, the timing appears right for an overhaul
Ongoing Junior Achievement partnership supports youth financial literacy
Comments due Jan. 12
Proposed changes step up supervisory requirements and aim to ensure consistent regulatory oversight