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Keyword: Self-regulatory organizations

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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


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

change direction

Reporting changes will be rolled into a bigger project on complaints, investigations

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The OSC advisory group is facing a long list of investor issues

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Investor advisory panel would provide feedback on regulatory policy issues and initiatives

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FINRA said it wants feedback on how its regulations and processes affect industry inclusion

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The SRO argues a hearing panel erred by failing to impose a fine against a rep who misappropriated a client's money

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Regulatory staff are expected to deliver recommendations to CSA chairs in the coming weeks