Comments on application and proposed oversight program due March 10
SRO rules that limit advertising, set prices for services and restrict who can offer professional services may go further than necessary to protect the public
The Canadian Securities Administrators have published a report reviewing their oversight of self-regulatory organizations. It makes a number of recommendations for improving self-regulation, and its oversight of SROs.The CSA SRO Oversight Project Committee focused on issues related to the current regulatory system and was not intended to be a broader review of self-regulation. It notes […]