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Keyword: Self-regulatory organizations

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IIROC takes aim at minor infractions

The SRO is looking to deal with certain cases more quickly

agreement, attorney, auction, authority, balance, barrister, beam, scale, book, bookcase, books, brass, brown, business, colourconcept, contract, counsel, court, courthouse, courtroom, crime, criminal, decision, defendant, divorce, enforcement, financefreedom, gavel, government, guilt, guilty, hammer, horizontal, innocence, judge, judgement, judgment, judicial, justice, lawlawyer, legal, legislation, liberty, libra, litigation, mallet, prosecution, punishment, rights, scale, scales, scales, of, justice, sentencesymbol, symbolic, system, tax, trial, tribunal, truth, verdict, weight, will, wood, wooden

IIROC proposes two new enforcement programs

The proposals aim to provide faster resolution and allow the SRO to focus resources on more serious cases

SROs focus on key issues

Are firms shifting clients into lower-cost funds as appropriate?

FINRA launches small firm helpline

The helpline aims to provide immediate answers on basic compliance questions

OSFI proposes revisions to capital rules for life insurers

IIROC seeks input on changes to plain language rulebook

IIROC seeks input on changes to plain language rulebook

BMO GAM’s Ross Kappele elected IFIC chairman

Dealers approve directors at 2017 MFDA AGM

Mutual fund dealers also approved a requirement for firms to disclose their membership in the MFDA to clients

  • December 1, 2017 December 1, 2017
  • 12:20

A magnet for misuse

IIROC proposal raises concerns

MFDA earns clean bill of health from CSA

MFDA earns clean bill of health from CSA

Former issues of false signatures and firm discipline resolved

BMO GAM’s Ross Kappele elected IFIC chairman

IIROC 2017-18 board of directors elected

Board re-appoints Marianne Harris as chairwoman; Paul Allison appointed vice chairman

Canadian insurance regulators focus on three key priorities

IIROC to prioritize compensation-related conflicts in the year ahead

The SRO will also look at regulation of robo-advisors and continue to focus on increasing its enforcements efforts