The SRO provides clarity ahead of new year-end requirements, noting how products, fees and even ESG should be discussed
Incentive structure favoured in-house funds over third-party funds, regulator found
Debra Doucette takes the role as Holly A. Benson steps down
Regulators aim to name CEO, board by Q2 next year
The regulator can now collect fines through the courts countrywide
The SRO is supporting Osgoode's investor service for two years
Rep sought to repay money with risky options trading
IIROC panel found rep secretly compensated clients, misled investigators
The client lost $1.3 million to risky trading that generated $232,000 in commissions
The CSA chair provided details Wednesday about the new SRO and why he's "all in" on CRM3