self-regulatory organizations

Industry

New SRO highlights proprietary product conflicts

A review identified gaps in addressing conflicts associated with proprietary products

By Mark Burgess |March 20, 2023

2 min read

Industry

SRO panel laments remote hearing challenges

Panel concluded that rep was participating in proceeding anonymously

By James Langton |March 14, 2023

2 min read

Industry

New SRO panel rejects proposed settlement

The case can either proceed to a contested hearing or the two sides may seek a new deal

By James Langton |March 8, 2023

2 min read

Industry

Ex-rep faces $2.5-million fine, ban for misappropriation

SRO panel delayed its decision pending proof of repayment that never came

By James Langton |February 28, 2023

2 min read

Industry

IA Financial Group aiming for dual-registered “one wealth” strategy

Wealth leader Stephan Bourbonnais wants the iA businesses to lead the way in the new self-regulatory regime

By Katie Keir |February 15, 2023

4 min read

Industry

New SRO proposes payback for harmed investors

The proposal would allow for disgorged funds to be paid out to victims of industry misconduct

By James Langton |February 1, 2023

2 min read

Industry

New SRO plans October business continuity test

The biennial exercise will be coordinated with the U.S. industry

By Staff |January 23, 2023

1 min read

Industry

Firms have immunity to aid SRO investigations, court rules

B.C. court strikes certain claims in rep's wrongful dismissal suit

By James Langton |January 20, 2023

2 min read

Industry

Former MFDA IPC head Dorothy Sanford to chair new investor group

York University's Moshe Milevsky is the new IAP's vice-chair

By James Langton |January 17, 2023

2 min read

Industry

New SRO launches with IIROC-heavy executive team

The new agency has a website but its name will come later

By James Langton |January 3, 2023

2 min read

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