Keyword: Self-regulatory organizations

183 results found
business woman esg

Investor advisory panel would provide feedback on regulatory policy issues and initiatives

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FINRA said it wants feedback on how its regulations and processes affect industry inclusion

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The SRO argues a hearing panel erred by failing to impose a fine against a rep who misappropriated a client's money

businessman race hurdle competition

Regulatory staff are expected to deliver recommendations to CSA chairs in the coming weeks

confused man

A clear delineation of responsibilities would allow for an effective relationship

gavel

The SRO has adopted an early settlement program but scrapped its plan for punishing minor violations

Law concept - Law book with a wooden judges gavel on table in a courtroom or law enforcement office

A forum of industry associations hopes a consolidated SRO will create a more level playing field while strengthening investor protection

female advisor with laptop

FINRA has observed a sharp increase in "instant funds" scams in the past two months

OSC corporate finance report aims to aid compliance

IIROC outlined the challenges for firms and regulators in a new report

gavel on a laptop

There is no evidence that video hearings are unfair, regulator rules