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Keyword: Self-regulatory organizations

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10380127 - building silhouettes of a city and flag

The Canadian Securities Administrators say the new SRO's CEO will be named in the coming weeks

metal scales of justice in court room

Advisors who leave the industry to avoid investigations and hearings suffer more severe penalties

gavel

Ontario judge sides with MFDA in attempt to collect sanctions

papers on a desk

Interim rules coming in May, with new CEO, board to be named in Q2

Business People Meeting Discussion in a boardroom concept

The CSA is seeking six industry directors and eight independent directors for the board

gavel

The MFDA also issued a permanent ban to the former branch manager in Alberta

announcement

Debra Doucette takes the role as Holly A. Benson steps down

  • By: IE Staff
  • November 24, 2021 November 24, 2021
  • 15:25
REGULATION CONCEPT

Regulators aim to name CEO, board by Q2 next year

group collaboration

But stakeholders say board representation for financial advisors and smaller players is inadequate

Horn speaker for public relations sign symbol, vintage color - sun with blue sky

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