Keyword: Self-regulatory organizations

198 results found
announcement

Debra Doucette takes the role as Holly A. Benson steps down

  • By: IE Staff
  • November 24, 2021 November 24, 2021
  • 15:25
REGULATION CONCEPT

Regulators aim to name CEO, board by Q2 next year

group collaboration

But stakeholders say board representation for financial advisors and smaller players is inadequate

Horn speaker for public relations sign symbol, vintage color - sun with blue sky

The CSA chair provided details Wednesday about the new SRO and why he's "all in" on CRM3

man working on laptop

Understand how a settlement can unexpectedly affect you

Fees as a share of industry revenues and profits have continued to decline

obstacle solution

The CSA hasn’t set a timeline for reforms

Silhouttes of Two Business People Having a Handshake

The CSA's plan received broad support, but there's plenty of work to do on the details

Horn speaker for public relations sign symbol, vintage color - sun with blue sky

Consolidated rules and enhanced governance will be part of the changes

think outside of the box

Fund dealers' first CE cycle to kick off on Dec. 1