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Keyword: Regulatory fees

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Late fees incurred between April 17 and June 1 will be waived

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SRO fees are being pushed back for small and mid-size firms, which represent 90% of investment dealers

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The trade group warns that small dealers may be in peril from the pandemic

But the industry trade group is calling on the regulator to keep fees in check

  • By: IE Staff
  • July 29, 2019 November 13, 2019
  • 15:25
guidelines and regulations binders

Regulator is making changes to the initial model to ease the transition for certain sectors

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Higher fees secure funding needed for effective market oversight and investor protection, commission says

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The SRO has made significant progress in achieving the priorities laid out in our three-year strategic plan

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The proposed fee changes will be used to fund increased enforcement and meet growing regulatory obligations

guidelines and regulations binders

Higher revenues and lower cost will produce a surplus for the regulator in fiscal 2018

IAP calls on regulators to eliminate embedded compensation

The current approach to calculating a minimum fee is unnecessarily complex