The settlement follows the firm's liquidation last year
IIROC's guidance on CFR requirements should include more information on risk, dependants and ESG, submissions say
Dealers must notify the regulator of new products and services
Consolidated rules and enhanced governance will be part of the changes
With complaints on the rise, disciplinary activity slowed in fiscal 2021, IIROC reports
An oversight examination has uncovered just one "low-priority" issue with market surveillance
Rep fined $75,000, suspended for six months in settlement with regulators
IIROC also is looking at retail complaints and disgorgement, among other SRO priorities
Reporting changes will be rolled into a bigger project on complaints, investigations
Investor advisory panel would provide feedback on regulatory policy issues and initiatives