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Keyword: Self-regulatory organizations

78 results found
Downtown office buildings Toronto

The firm, which has been suspended since January 2017, held no client assets and was deemed “effectively insolvent”

law regulations paper flat illustration

The self-regulatory organization aims to improve its surveillance capability

  • By: IE Staff
  • July 27, 2018 July 29, 2018
  • 12:45
MFDA 2018-2022 Strategic Plan

The SRO is placing a high priority on embracing innovation within the investment industry in a manner that meets regulatory requirements and protects investors

  • By: IE Staff
  • June 19, 2018 June 19, 2018
  • 16:45
Chateau Frontenac in Quebec city

The government is retreating in the face of opposition to the plan

Stacked white books on rules and regulations

Regulator reports that it received 324 proficiency exemption applications last year

business people standing in line under a magnifying glass

An oversight review from CSA notes only two low- and medium-priority issues, which are being addressed

Judge gavel, scales of justice and law books in court

Amendments will allow IIROC and the MFDA to enforce penalties as court orders

agreement, attorney, auction, authority, balance, barrister, beam, scale, book, bookcase, books, brass, brown, business, colourconcept, contract, counsel, court, courthouse, courtroom, crime, criminal, decision, defendant, divorce, enforcement, financefreedom, gavel, government, guilt, guilty, hammer, horizontal, innocence, judge, judgement, judgment, judicial, justice, lawlawyer, legal, legislation, liberty, libra, litigation, mallet, prosecution, punishment, rights, scale, scales, scales, of, justice, sentencesymbol, symbolic, system, tax, trial, tribunal, truth, verdict, weight, will, wood, wooden

The SRO is looking to deal with certain cases more quickly

agreement, attorney, auction, authority, balance, barrister, beam, scale, book, bookcase, books, brass, brown, business, colourconcept, contract, counsel, court, courthouse, courtroom, crime, criminal, decision, defendant, divorce, enforcement, financefreedom, gavel, government, guilt, guilty, hammer, horizontal, innocence, judge, judgement, judgment, judicial, justice, lawlawyer, legal, legislation, liberty, libra, litigation, mallet, prosecution, punishment, rights, scale, scales, scales, of, justice, sentencesymbol, symbolic, system, tax, trial, tribunal, truth, verdict, weight, will, wood, wooden

The proposals aim to provide faster resolution and allow the SRO to focus resources on more serious cases

Are firms shifting clients into lower-cost funds as appropriate?