Dealers to vote Sept. 29 on fate of new SRO

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

Rep sanctioned after ignoring clients’ red flags

Disregarding signs of suspicious trading amounts to failed gatekeeper responsibilities, settlement says

By James Langton |September 19, 2022

2 min read

As new SRO looms, costs rise

Fees, expenses surging ahead of IIROC-MFDA amalgamation

By James Langton |September 16, 2022

2 min read

IIROC proficiency project moves on to traders, PMs

SRO aims to finalize competency standards by early 2024

By James Langton |August 29, 2022

1 min read