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Keyword: self-regulatory organizations

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four people straining to pull against a single hand

FSRA's fee rule for credentialing bodies exempts CIRO from full costs

Increasing percentage

Fees for investment dealers to rise 6.4%, annual report says

Fraudster captured

Clients' assets misappropriated rather than invested, U.S. authorities charged

open door

CEO cites stress, health in decision to resign from post

Disclosure form

New rules aim to improve transparency, investor protection in private fund market

People groups

New rule sharply narrows prop traders' SRO exemption

Glowing light bulb on wooden wall with drawing charts and

SRO to expand former MFDA project to all dealers in 2024


Firm admitted to serving retail investors before SRO approvals, systems in place

Lawyer writing in legal book

Proposal revises conservative approach initially sought by IIROC


No more pencils, no more books: the self-regulatory organization proposes to focus on exams instead