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
This year’s compliance exams will focus on suitability and KYC issues as well as the new cost and performance reporting requirements under CRM2
The SRO has laid out its priorities for 2017 in a notice published on Thursday
Licensing standards and continuing education to be studied
The SRO’s members also approved proposed changes to its rules regarding trading authority and powers of attorney at its AGM