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Keyword: Self-regulatory organizations

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A man removing interlocking pieces from a large stack

CIRO to align compliance operations

Integrating the SROs' compliance and enforcement functions is a top priority alongside policy work

Fines graphic

How FINRA spent its enforcement fines

SRO ordered US$48.1 million in monetary penslties in 2022

Stacked white books on rules and regulations

CIRO tackling array of high-profile policy challenges

Commission structures, account transfer standards and dual registration are all in the works

Adult senior diverse multi-ethnic Caucasian Hispanic Middle Eastern CEO executive team business people together in conference meeting room in contemporary modern office bright sunny daylight sunset dusk talking discussing planning organizing strategy well dressed suit and tie teamwork cooperation diversity multi-ethnic problems solutions unity cityscape downtown urban new beginnings breaking new ground dreamlike decisions choices the way forward diversity

Stay tuned in 2023 for key industry developments

IFIC’s busy agenda includes total cost reporting, new SRO, research and more

Sign on the building of Financial Industry Regulatory Authority, or Finra, in Manhattan NYC lower financial district downtown, businessman man walking stock photo

FINRA to firm: Get out!

SRO expels brokerage over widespread regulatory violations

Entrance to Financial Services Regulatory Authority of Ontario

FSRA revises proposed fee rule

Some fees reduced to reflect existing OSC oversight of new SRO

Businessman at an exhibition or conference wearing a blank security identity name card or tag

CIRO it is: SRO members approve new name

Firms will have until Dec. 31, 2024, to adopt the name and logo on required disclosures

rules and regulations

SRO proposes T+1 rule changes

Changes to dealer rules, trading rules aim to facilitate shorter settlement cycle

Couple getting financial retirement advice from consultant at home

Fund investors to get full cost disclosure, eventually

CSA and CCIR finalize CRM3 rules, give industry until 2026 to adopt

Court.

Court upholds OSC decision denying rep’s appeal

An Ontario court rejected an appeal over IIROC sanctions