SRO consults on options for resolving long-standing regulatory disparity
SRO consolidates IIROC, MFDA approaches to enforcement penalties, policies
Appeal Court finds alleged fiduciary duty breach can be basis for class action
Groundbreaking securities lawyer, Glorianne Stromberg, dies
New SRO aims to harmonize requirements for fund dealers and investment dealers
AMF, provincial government approve delegation of powers to SRO
Fees for investment dealers to rise 6.4%, annual report says
SRO to expand former MFDA project to all dealers in 2024
Commission structures, account transfer standards and dual registration are all in the works
Former fund rep fined, banned by regulators for misappropriation