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
Signature-related shenanigans is an issue fro the CSA
The SRO is also redesigning the official brochure that firms will be required to distribute to new retail clients when they open an account early next year
Although the MFDA’s processes are “effective, efficient and applied consistently and fairly,” it could take a harder line against registrants