News and resources for Canada's top financial advisors
Est. 1998
Industry
Breaking down the issues as IIROC and MFDA firms prepare to have their say on the proposed merger
By James Langton |September 23, 2022
4 min read
Disregarding signs of suspicious trading amounts to failed gatekeeper responsibilities, settlement says
By James Langton |September 19, 2022
2 min read
Fees, expenses surging ahead of IIROC-MFDA amalgamation
By James Langton |September 16, 2022
SRO aims to finalize competency standards by early 2024
By James Langton |August 29, 2022
1 min read
The Court of Appeal for British Columbia found that the judge did not err in 2019 ruling
By Staff |August 25, 2022
SRO provides guidance on short covering expectations
By Staff |August 18, 2022
Enforcement penalties will be used to help fund the new SRO
By James Langton |July 28, 2022
Software updates caused various issues, undermining market oversight
By James Langton |July 26, 2022
An IIROC hearing panel also permanently banned the former Toronto-area rep
By Staff |July 22, 2022
SRO committees focus on market regulation, fixed-income trading issues
By Staff |July 12, 2022
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