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Indian Couple Meeting With Financial Advisor At Home

The self-regulatory organization issues a consultation paper to identify delays

Focused female graphic designer using graphics tablet at computer

Self-regulatory organization also issued fines totalling $9.3 million in 2019

  • By: Staff
  • May 12, 2020 May 12, 2020
  • 16:11
gavel on a wooden bench

The man allegedly borrowed more than $500,000 from clients

  • By: Staff
  • May 8, 2020 May 8, 2020
  • 15:12
stack of documents or files, overload of paperwork on black background

Bylaw amendments focus on access to records

  • By: Staff
  • May 7, 2020 May 7, 2020
  • 15:53
Wooden gavel used by a judge or auctioneer

The regulator has ordered a permanent ban, but only a modest fine, against the former rep

gavel on a wooden bench

The violation involved more than $400K from four clients

Magnifying glass highlighting investment stock quotes in business section of newspaper.

A merger "would not be adequate given the shortcomings of the current SRO system"

The audience listens to the acting in a conference hall. Seminar, Classroom, Adult.

The proposals deal with accreditation and eligibility periods

Skull on blue digital background. security concepts

The pandemic is proving to be a paradise for cybercriminals

The SROs are urging firms to think about business continuity plans