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Keyword: Self-regulatory organizations

359 results found

Silhouette of man at sunset

CIRO sympathetic to industry challenges with new conflict disclosures

Kriegler acknowledges additional burden to advisors resulting from regulatory changes

By: Melissa Shin
November 6, 2023 November 6, 2023
12:28

Former rep fined, banned for taking loans from clients

Panel defers penalties while ex-rep repays clients

By: James Langton
November 3, 2023 November 3, 2023
11:58

announcement

FINRA deputy enforcement chief departs

SRO executive leaves after nine years at the agency

By: James Langton
October 31, 2023 October 31, 2023
17:01

Quantum computer

FINRA enters the quantum realm

SRO examines potential implications of a computing revolution

By: James Langton
October 30, 2023 October 30, 2023
15:51

penalty card

Complaint volumes surging, CIRO reports

Collections plunge as hefty sanctions are handed out

By: James Langton
October 25, 2023 October 25, 2023
15:48

Patron saint of investor protection passes away

Groundbreaking securities lawyer, Glorianne Stromberg, dies

By: James Langton
October 23, 2023 October 23, 2023
15:11

merger

CIRO takes step toward consolidated dealer rules

New SRO aims to harmonize requirements for fund dealers and investment dealers

By: James Langton
October 20, 2023 October 20, 2023
16:32

Gavel and Money - Canada stock photo

Tribunal finds SRO panel erred

The IIROC panel overlooked evidence that a rep borrowed money rather than misappropriating it

By: James Langton
October 16, 2023 October 16, 2023
16:18

Dispute at desk

SEC targets best-interest rules in broker reviews

Regulator's exam division sets compliance priorities for 2024

By: James Langton
October 16, 2023 October 16, 2023
14:40

CIRO to step up fund dealer oversight in Quebec

AMF, provincial government approve delegation of powers to SRO

By: James Langton
October 6, 2023 October 6, 2023
13:43