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Keyword: Regulatory reform

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Partners discussing new plans

SRO reform can lead to a better outcome for dealers and their clients

rules and regulations

SRO proposes early adoption of provisions from plain language rewrite

Queen's Park, Ontario legislature, exterior

Investors, industry pan the OSC's DSC preservation proposals

Happy businesswoman handshaking with client closing deal in an office interior with a window in the background

Why SROs work well for investors and the industry

Taxpayer's desk and excise documents to import and export industrial goods for the purpose of maximizing profits for large business organizations. (Taxpayer's desk and excise documents to import and export industrial goods for the purpose of maximizin

A ban on trailers for discounters, a stronger OBSI and protecting seniors remain priorities for the CSA

tax inspector investigating financial documents through magnifying glass, forensic accounting or financial forensics, inspecting offshore company financial papers, documents and reports.

CSA consultation will focus on self-regulation, not necessarily consolidation

EU flags waving in front of European Parliament building. Brussels, Belgium

Proposals to break down internal barriers would bolster markets and fund managers

16253748 - hand of a businesswoman at her desk with a pen and a clipboard

The OSC committee outlined past and present initiatives in its annual report

  • By: IE Staff
  • May 7, 2020 May 7, 2020
  • 14:33
notepad, laptop and coffee cup on wood table

The regulator scraps its usual policy agenda consultation amid Covid-19

mature businessman thinking at desk in office

MFDA proposes creation of new, comprehensive SRO for registered firms