The helpline aims to provide immediate answers on basic compliance questions
IIROC seeks input on changes to plain language rulebook
Mutual fund dealers also approved a requirement for firms to disclose their membership in the MFDA to clients
IIROC proposal raises concerns
Former issues of false signatures and firm discipline resolved
Board re-appoints Marianne Harris as chairwoman; Paul Allison appointed vice chairman
The SRO will also look at regulation of robo-advisors and continue to focus on increasing its enforcements efforts
IIROC and the MFDA would be given the power to compel evidence and the ability to compel the production of documents and records
Fees for government securities dealers under the new model apply starting on Saturday and the fees for other dealers will begin July 1
The U.S. investment industry’s SRO is seeking comment from stakeholders for suggestions on how to improve various aspects of its operations