SRO reform should serve the public interest and investors’ needs, writes John Carson of FAIR Canada
Fund dealer admits to not fully investigating suspected rep misconduct
SRO reform can lead to a better outcome for dealers and their clients
The self-regulatory organization calls on fund dealers to participate in policy consultations
Why SROs work well for investors and the industry
Guidance aims to allow more tailored setups for compliance officers
Firm has compensated clients, enhanced compliance
Examination of the self-regulatory framework runs until Oct. 23
CSA consultation will focus on self-regulation, not necessarily consolidation
SRO hearing panel ruled the former rep "completely untrustworthy"