self-regulatory organizations

Decorative pattern

IIROC seeking feedback on arbitration program overhaul

Proposals include increasing the limit on claims and publishing arbitration decisions

By James Langton |December 6, 2022

2 min read

New SRO should oversee Quebec’s fund dealers: IIAC

New SRO should oversee Quebec’s fund dealers: IIAC

Trade group calls on provincial finance minister to review fund dealer oversight

By James Langton |December 5, 2022

2 min read

New SRO gets formal approval from CSA

New SRO gets formal approval from CSA

Provincial regulators finalized recognition orders and interim rules

By James Langton |November 24, 2022

2 min read

CRM3, DSCs, new SRO top OSC agenda

CRM3, DSCs, new SRO top OSC agenda

Regulator sets out draft priorities for fiscal 2024

By James Langton |November 22, 2022

2 min read

IIROC enforcement fund approved for SRO integration costs

IIROC enforcement fund approved for SRO integration costs

SRO gets green light to help finance initial merger costs

By James Langton |October 27, 2022

2 min read

SRO may adopt new regulatory oversight model

SRO may adopt new regulatory oversight model

The new organization is looking at joint oversight that rotates among CSA jurisdictions

By Greg Meckbach |October 3, 2022

2 min read

SRO reform a go after dealer vote

SRO reform a go after dealer vote

Fund dealers, investment dealers approve merger, with new SRO to launch in 2023

By James Langton |September 29, 2022

2 min read

Dealers to vote Sept. 29 on fate of new SRO

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

As new SRO looms, costs rise

As new SRO looms, costs rise

Fees, expenses surging ahead of IIROC-MFDA amalgamation

By James Langton |September 16, 2022

2 min read

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