IIROC staff argued the non-compliance was "a wilful business decision"
Applications are now due in April
The MX’s regulatory division and IIROC have acknowledged that flexibility may be necessary
The SROs are urging firms to think about business continuity plans
The SRO is setting up an expert panel that will advise on investor issues
The announcement comes in advance of the CSA’s review of self-regulation
Kenmar Associates hopes the review won’t just rubber-stamp a merger of the MFDA and IIROC
IIROC is calling on dealers to nominate candidates
Beginning in June, the SRO will accept the Level I CFA exam as an alternative to the CSC
A discussion paper calls the current system outdated, complex and product-based