Exemption applies for one year, or until SROs’ CRM rules take effect
SROs — not securities commissions — seem to favour investor protection
In fact, IIROC’s disciplinary decision rate has typically outpaced FINRA’s over the past five years
Requiring more firms to belong to an SRO may be one useful solution
“Financial planner” title should be provincially regulated and restricted, report says
Advisor-client relationship should be based on trust, Wilkinson says
Financial services industry must address the issues with self regulation proactively, Waitzer says
Panelists to discuss regulatory reform in U.S., UK
The purpose of these regulatory changes is to reduce risk, but they will also curtail firms’ earning potential
Market participants asked to monitor internal controls