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Keyword: Self-regulatory organizations

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Simple better than complicated

Compliance officers still hoping for national regulator, SRO merger

Closeup of mallet being hit on stacked coins at table in courtroom

The rep also received a lifetime ban

  • By: IE Staff
  • March 29, 2019 April 16, 2019
  • 11:27

A proposed rule change would better align the self-regulatory organization's provisions for information with those of OBSI

High angle view of businesspeople over boardroom table collaborating celebrating

The SRO said the proposed changes would enhance the independence of its governance committee

Candidates must be officers or employees of a dealer

businessman showing where to sign agreement law contract pen

Compliance exams uncover an inappropriate one-size-fits-all approach

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The court found that IIROC did not have to turn over more information about trading in the shares of Concordia International

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Two former regulators join board of directors

Business People Meeting Discussion in a boardroom concept

Members will gather to elect directors

  • August 30, 2018 April 16, 2019
  • 15:45
Businessman making presentation with his colleagues and business strategy digital layer effect at the office as concept

The SRO has made significant progress in achieving the priorities laid out in our three-year strategic plan