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Keyword: Investment dealers

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Silhouttes of Two Business People Having a Handshake

SRO says post-pandemic rules facilitate flexible working models

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Ultimately, reduced settlement cycle will pay off for overall financial system

Old and new sign

Fees to rise for most firms as minimums go up, certain dealers pay higher share

Trader at computer screen

Regulators to boost fee transparency, explore enhanced retail access


New instrument aims to fill a void created as CDOR is retired

online investing

Broker conflicts, finfluencers, gamification among regulators' priorities

Trader screen

Regulator aims to ease asset managers' access to investment research

concept of time

Industry trade groups line up behind U.K.'s call for move by 2027

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Industry divided on, investor advocates opposed to, reforms


Firm failed to adequately oversee rep's risky trading strategy, CIRO says