CIRO firms exempt from new standards for Quebec financial firms
SRO publishes playbook for dealing with growing cyber threat
Study participants preferred to rely on the knowledge of professionals rather than learn about investing
Regulator calls for continuity plans at one-man shops
SRO consults on options for resolving long-standing regulatory disparity
Firms are puzzling out how to balance significant overhead costs with advisor support
Collections plunge as hefty sanctions are handed out
Groundbreaking securities lawyer, Glorianne Stromberg, dies
New SRO aims to harmonize requirements for fund dealers and investment dealers
Banks to bear the brunt of fee increase, as case volumes jump