self-regulatory organizations

CIRO proposes nixing courses in new proficiency model

Industry

CIRO proposes nixing courses in new proficiency model

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

By James Langton |July 7, 2023

2 min read

Title protection fee proposal in Ontario draws criticism from planning associations, investor advocates

Industry

Title protection fee proposal in Ontario draws criticism from planning associations, investor advocates

Group rejects proposed fee exemptions for self-regulatory organization and calls for greater advisor proficiency

By Staff |June 6, 2023

3 min read

CIRO to align compliance operations

Industry

CIRO to align compliance operations

Integrating the SROs' compliance and enforcement functions is a top priority alongside policy work

By James Langton |June 1, 2023

2 min read

How FINRA spent its enforcement fines

Industry

How FINRA spent its enforcement fines

SRO ordered US$48.1 million in monetary penslties in 2022

By James Langton |May 31, 2023

1 min read