Keyword: Self-regulatory organizations

185 results found
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

The association delivered its proposed roadmap to inform a CSA decision due this summer

a man interrupts a cascade of falling dominoes

SRO adopts rule changes to enhance investor protection

Target hit in the center by arrow

Fund dealers were advised to examine their client reports for unusual or incorrect information

rules and regulations

Regulators are weighing options for the future of the self-regulatory framework

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

The deadline for dealers to nominate candidates is March 12

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

The MFDA is working on an "implementation roadmap" for its vision for the future of self-regulation

difficult choices of a businessman due to crisis

Consolidating the MFDA and IIROC would ultimately benefit investors, writes Paul Bourque

merger

Time to think bigger on SRO reform?