Self-regulatory organizations – Investment Executive https://www.investmentexecutive.com Canada's news source for financial professionals Tue, 09 Dec 2025 20:28:18 +0000 en-US hourly 1 https://wordpress.org/?v=6.9 https://www.investmentexecutive.com/wp-content/uploads/sites/3/2018/01/cropped-favicon-1-32x32.png Self-regulatory organizations – Investment Executive https://www.investmentexecutive.com 32 32 Speeding dispute resolution for older, ill investors https://www.investmentexecutive.com/news/speeding-dispute-resolution-for-older-ill-investors/ Tue, 09 Dec 2025 20:28:18 +0000 https://www.investmentexecutive.com/?p=527360 SEC supports lifting constraints on equity research https://www.investmentexecutive.com/news/sec-supports-lifting-constraints-on-equity-research/ Mon, 08 Dec 2025 20:21:38 +0000 https://www.investmentexecutive.com/?p=527239 CIRO to issue final dealer rules in February https://www.investmentexecutive.com/news/ciro-to-issue-final-dealer-rules-in-february/ Wed, 03 Dec 2025 22:32:17 +0000 https://www.investmentexecutive.com/?p=526952 FCA sanctions standards setter for poor anti-money laundering oversight https://www.investmentexecutive.com/news/fca-sanctions-standards-setter-for-aml-oversight/ Tue, 02 Dec 2025 18:00:11 +0000 https://www.investmentexecutive.com/?p=526769 Manitoba regulator upholds CIRO enforcement rulings https://www.investmentexecutive.com/news/manitoba-regulator-upholds-ciro-enforcement-rulings/ Fri, 28 Nov 2025 20:59:28 +0000 https://www.investmentexecutive.com/?p=526585 CIRO undertakes phase two of guidance reno https://www.investmentexecutive.com/news/ciro-undertakes-phase-two-of-guidance-reno/ Thu, 06 Nov 2025 18:43:01 +0000 https://www.investmentexecutive.com/?p=524772 CIRO awaiting CRA feedback on advisor corporations https://www.investmentexecutive.com/news/ciro-awaiting-cra-feedback-on-advisor-corporations/ Wed, 29 Oct 2025 17:34:55 +0000 https://www.investmentexecutive.com/?p=523998 OSC denies EMD registration to crypto firm https://www.investmentexecutive.com/news/from-the-regulators/osc-denies-emd-registration-to-crypto-firm/ Fri, 17 Oct 2025 05:32:20 +0000 https://www.investmentexecutive.com/?p=522833 CIRO to change how it funds registration https://www.investmentexecutive.com/news/from-the-regulators/ciro-to-change-how-it-funds-registration/ Thu, 09 Oct 2025 05:51:41 +0000 https://www.investmentexecutive.com/?p=522256 What to expect when filing on ComSet https://www.investmentexecutive.com/news/what-to-expect-when-filing-on-comset/ Mon, 06 Oct 2025 21:15:18 +0000 https://www.investmentexecutive.com/?p=522016