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Keyword: Self-regulatory organizations

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businessman showing where to sign agreement law contract pen

The biennial exercise will be coordinated with the U.S. industry

Business lawyer team. Working together of lawyer in the meeting.

B.C. court strikes certain claims in rep's wrongful dismissal suit

plan idea

Growth in Canadian depositary receipts prompts SRO to expand guidance on trading halts


Dorothy Sanford, former head of MFDA IPC, heads new investor group

Female tax inspector looking at corporate financial documents with magnifying glass

Fines levied against reps last year soared to $7.9 million from $938,000 in 2021

Grand opening, cutting red ribbon

The new agency's leadership is dominated by former IIROC personnel

suspicious client

The new self-regulatory organization is considering its role in the evolving regime

Concept of entering 2023 with uncertainty

The Canadian regulatory landscape will be fundamentally altered in 2023

Quebec flag billowing in the breeze

Trade group calls on provincial finance minister to review fund dealer oversight


Provincial regulators finalized recognition orders and interim rules