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Keyword: Self-regulatory organizations

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SEC targets best-interest rules in broker reviews article image Dispute at desk

SEC targets best-interest rules in broker reviews

CIRO to step up fund dealer oversight in Quebec

With costs projected to increase 9% in fiscal 2024, CIRO’s fees are also heading higher article image Wooden blocks with percentage sign and arrow up, financial growth, interest rate increase, inflation concept

With costs projected to increase 9% in fiscal 2024, CIRO’s fees are also heading higher

CSA increased bans, fines in latest fiscal year article image Gavel and texts

CSA increased bans, fines in latest fiscal year

  • By: IE Staff
  • September 7, 2023 September 7, 2023
  • 13:33
Championing improved investor outcomes article image advisor and client meeting

Championing improved investor outcomes

SEC expands FINRA’s jurisdiction article image Follow the leader

SEC expands FINRA’s jurisdiction

FINRA names new enforcement chief

CIRO plans industry-wide client research project article image Flat Illustration concept customer rating on tablets

CIRO plans industry-wide client research project

Advisor fined $70K for thousands of pre-signed forms article image stack of files

Advisor fined $70K for thousands of pre-signed forms

CIRO fines firm for retail compliance violations article image Judge's gavel with magnifying glass on black.

CIRO fines firm for retail compliance violations