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The U.S. investment industry’s SRO is seeking comment from stakeholders for suggestions on how to improve various aspects of its operations

IFIC campaign encourages investors to open their statements

This year’s compliance exams will focus on suitability and KYC issues as well as the new cost and performance reporting requirements under CRM2

Adoption of big regulatory changes must avoid unintentional harm

The SRO has laid out its priorities for 2017 in a notice published on Thursday

Licensing standards and continuing education to be studied

BMO GAM’s Ross Kappele elected IFIC chairman

The SRO’s members also approved proposed changes to its rules regarding trading authority and powers of attorney at its AGM

Signature-related shenanigans is an issue fro the CSA

The SRO is also redesigning the official brochure that firms will be required to distribute to new retail clients when they open an account early next year

MFDA fulfilling its duties, but room for improvement exists, CSA finds

Although the MFDA’s processes are “effective, efficient and applied consistently and fairly,” it could take a harder line against registrants

The regulator altered several aspects of the plan to adopt a consolidated audit trail in response to public comments and recommendations from the SROs

Although the provinces have not moved yet on the effort to see the creation of an SRO for advisors, clients could help tip the scale in that direction, experts say