Fund dealers' first CE cycle to kick off on Dec. 1
An oversight examination has uncovered just one "low-priority" issue with market surveillance
The proposals are out for a 60-day comment period
IIROC also is looking at retail complaints and disgorgement, among other SRO priorities
Reporting changes will be rolled into a bigger project on complaints, investigations
The OSC advisory group is facing a long list of investor issues
Investor advisory panel would provide feedback on regulatory policy issues and initiatives
FINRA said it wants feedback on how its regulations and processes affect industry inclusion
The SRO argues a hearing panel erred by failing to impose a fine against a rep who misappropriated a client's money
Regulatory staff are expected to deliver recommendations to CSA chairs in the coming weeks