Self-regulatory organizations | Investment Executive https://www.investmentexecutive.com/tag/self-regulatory-organizations/ Canada's news source for financial professionals Tue, 16 Dec 2025 14:32:12 +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/tag/self-regulatory-organizations/ 32 32 Panel rejects CIRO case against reps, again https://www.investmentexecutive.com/news/from-the-regulators/panel-rejects-ciro-case-against-reps-again/ Tue, 16 Dec 2025 14:32:12 +0000 https://www.investmentexecutive.com/?p=527782 BCSC sent case back to SRO panel, which dismissed allegations

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]]> Rep’s misconduct shouldn’t be career ending: SRO https://www.investmentexecutive.com/news/from-the-regulators/reps-misconduct-shouldnt-be-career-ending-sro/ Mon, 15 Dec 2025 21:13:59 +0000 https://www.investmentexecutive.com/?p=527774 Breach not worthy of year-long suspension, CIRO panel finds

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]]> Speeding dispute resolution for older, ill investors https://www.investmentexecutive.com/news/from-the-regulators/speeding-dispute-resolution-for-older-ill-investors/ Tue, 09 Dec 2025 20:28:18 +0000 https://www.investmentexecutive.com/?p=527360 FINRA to accelerate arbitration process for vulnerable clients

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]]> 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 "Dot-com" era conflict restrictions no longer needed, regulator agrees

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]]> 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 Final consultation on merged dealer rules will get 120-day comment period

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]]> 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 Regulator brings first enforcement action against a professional body

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]]> 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 MSC finds no error with panel's findings against former fund rep

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]]> CIRO undertakes phase two of guidance reno https://www.investmentexecutive.com/news/from-the-regulators/ciro-undertakes-phase-two-of-guidance-reno/ Thu, 06 Nov 2025 18:43:01 +0000 https://www.investmentexecutive.com/?p=524772 Project aims to ease trading rule compliance, not alter requirements

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]]> 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 SRO crafting model to allow reps to use personal corporations

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]]> 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 Regulator rejects the idea of "bespoke" regulation for firms

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