SRO crafting model to allow reps to use personal corporations
Motion judge made no error in finding dealer entitled to fee refund, appeal court says
Regulator puts twice-delayed research effort on backburner
Move would give SRO full responsibility for registering dealers, reps
Regulator clarifies its response to concerns arising from survey of mutual fund reps
Large fund dealers, with high rep numbers, to bear brunt of higher annual fee
CIRO provides guidance on new education, experience requirements for reps
Compromised data is starting to show up on the dark web
Plus, several firms announce fund changes
Regulators set out proposed approach to oversight, external reviews