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Keyword: Mutual fund dealers

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CIRO firms exempt from new standards for Quebec financial firms

Technology security concept. Modern safety digital background. Protection system

SRO publishes playbook for dealing with growing cyber threat

client meeting

Study participants preferred to rely on the knowledge of professionals rather than learn about investing

Judge looks at papers

Regulator calls for continuity plans at one-man shops

man working on laptop

SRO consults on options for resolving long-standing regulatory disparity

magnifying glass

Firms are puzzling out how to balance significant overhead costs with advisor support

  • By: Katie Keir
  • November 21, 2023 November 21, 2023
  • 10:10
penalty card

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

Dispute at desk

Banks to bear the brunt of fee increase, as case volumes jump