The two regulators will inform each other when they refuse to register or license an individual registered with the other regulator
The committee provides feedback on issues that impact registered firms, including registration and compliance-related topics
Rep admitted to using pre-signed forms a for convenience
Stuart McKinnon had sought an exemption to register with De Thomas Financial
IIROC outlines the process for making requests
No registration necessary for employees working in Canada serving U.S. clients
No registration necessary for employees working in Canada serving U.S. clients
Members from various registration categories to serve two-year terms
The committee serves as a forum to discuss issues and challenges faced by registrants and provides feedback to regulators
The OSC aims to make the initial registration process for firms closer to an actual compliance review