How the new self-regulatory organization will handle fees, advisor incorporation, rule harmonization and more
Fund dealers, investment dealers approve merger, with new SRO to launch in 2023
Dealers will vote Sept. 29 on the fate of the IIROC-MFDA merger
From leadership restructuring to the creation of a new role, it's a busy start to the fall
Fees, expenses surging ahead of IIROC-MFDA amalgamation
Karen McGuinness appointed as president and CEO
SRO sought to investigate after compliance review discovered pre-signed forms
Ontario court orders summary judgment in favour of bank
Enforcement penalties will be used to help fund the new SRO
Rep fined after switching a nonagenarian's account into a DSC fund