The Securities and Investment Management Association will also represent capital markets participants, investment dealers
The change has positive implications for reps who get terminated for an enforcement investigation, Ellen Bessner says
Canadian Securities Institute will become the only course provider for mutual fund licensing
CIRO, CSA to publish joint report on CFR sweep in first half
After consultation, SRO cuts proposed new dealer application fees
Firms failed to ensure that investors got fund fee rebates, waivers
SRO sets out common requirements, contemplates shift to annual CE cycle
Rep circumvented registration limits to trade wider range of securities
CSA issues new guidance, consults on possible future reforms to address AI advances
Proposals aim to boost investor protection around proprietary fund sales