The SRO is looking to deal with certain cases more quickly
The proposals aim to provide faster resolution and allow the SRO to focus resources on more serious cases
Are firms shifting clients into lower-cost funds as appropriate?
The helpline aims to provide immediate answers on basic compliance questions
IIROC seeks input on changes to plain language rulebook
Mutual fund dealers also approved a requirement for firms to disclose their membership in the MFDA to clients
IIROC proposal raises concerns
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