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Keyword: Self-regulatory organizations

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The CSA chair provided details Wednesday about the new SRO and why he's "all in" on CRM3

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Understand how a settlement can unexpectedly affect you

Fees as a share of industry revenues and profits have continued to decline

obstacle solution

The CSA hasn’t set a timeline for reforms

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The CSA's plan received broad support, but there's plenty of work to do on the details

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Consolidated rules and enhanced governance will be part of the changes

think outside of the box

Fund dealers' first CE cycle to kick off on Dec. 1

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An oversight examination has uncovered just one "low-priority" issue with market surveillance

client meeting

The proposals are out for a 60-day comment period

REGULATION CONCEPT

IIROC also is looking at retail complaints and disgorgement, among other SRO priorities