Self-regulatory organizations – Investment Executive https://www.investmentexecutive.com Canada's news source for financial professionals Thu, 25 Apr 2024 21:18:35 +0000 en-US hourly 1 https://wordpress.org/?v=5.9.3 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 CIRO proposes new fee model https://www.investmentexecutive.com/news/from-the-regulators/ciro-proposes-new-fee-model/ Thu, 25 Apr 2024 21:18:35 +0000 https://www.investmentexecutive.com/?p=484777 Fees to rise for most firms as minimums go up, certain dealers pay higher share

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]]> CIRO seeks stiffer enforcement sanctions https://www.investmentexecutive.com/news/from-the-regulators/ciro-seeks-stiffer-enforcement-sanctions/ Thu, 18 Apr 2024 22:08:17 +0000 https://www.investmentexecutive.com/?p=484344 SRO proposes doubling maximum fines, toughening suspensions

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]]> CIRO sketches three-year strategic vision https://www.investmentexecutive.com/news/from-the-regulators/ciro-sketches-three-year-strategic-vision/ Thu, 11 Apr 2024 19:17:38 +0000 https://www.investmentexecutive.com/?p=483589 Expanding access to advice, standardizing KYC data collection on SRO's agenda

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]]> Rep incorporation proposals prove to be sticky wicket https://www.investmentexecutive.com/news/from-the-regulators/rep-incorporation-proposals-prove-to-be-sticky-wicket/ Mon, 08 Apr 2024 21:26:46 +0000 https://www.investmentexecutive.com/?p=483358 Industry divided on, investor advocates opposed to, reforms

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]]> Fund dealer chief sanctioned for misleading SRO https://www.investmentexecutive.com/news/from-the-regulators/fund-dealer-chief-sanctioned-for-misleading-sro/ Fri, 05 Apr 2024 19:09:37 +0000 https://www.investmentexecutive.com/?p=483275 Terms of firm's sale weren't fully disclosed to regulators

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]]> Coinbase Canada gets CSA registration https://www.investmentexecutive.com/news/from-the-regulators/coinbase-canada-gets-csa-registration/ Thu, 04 Apr 2024 17:58:46 +0000 https://www.investmentexecutive.com/?p=483157 Crypto firm to pursue full dealer and ATS registration, plus SRO membership

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]]> CIRO gets clean bill of health from CSA https://www.investmentexecutive.com/news/from-the-regulators/ciro-gets-clean-bill-of-health-from-csa/ Thu, 28 Mar 2024 20:34:10 +0000 https://www.investmentexecutive.com/?p=482950 First oversight review finds SRO complying with recognition order

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]]> Shining more light into Treasury markets https://www.investmentexecutive.com/news/from-the-regulators/shining-more-light-into-treasury-markets/ Thu, 28 Mar 2024 20:15:09 +0000 https://www.investmentexecutive.com/?p=482906 FINRA starts providing data on individual transactions

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]]> Rep fell for fraud scheme, sanctioned by SRO https://www.investmentexecutive.com/news/from-the-regulators/rep-fell-for-fraud-scheme-sanctioned-by-sro/ Tue, 19 Mar 2024 20:29:28 +0000 https://www.investmentexecutive.com/?p=482315 Panel orders penalties for disgorgment and deterrence

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]]> FINRA fines firm over finfluencers https://www.investmentexecutive.com/news/from-the-regulators/finra-fines-firm-over-finfluencers/ Tue, 19 Mar 2024 16:51:01 +0000 https://www.investmentexecutive.com/?p=482274 SRO brings first case following compliance review targeting firms' use of online influencers

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