The SROs are urging firms to think about business continuity plans
The SRO is setting up an expert panel that will advise on investor issues
The announcement comes in advance of the CSA’s review of self-regulation
Kenmar Associates hopes the review won’t just rubber-stamp a merger of the MFDA and IIROC
IIROC is calling on dealers to nominate candidates
Beginning in June, the SRO will accept the Level I CFA exam as an alternative to the CSC
A discussion paper calls the current system outdated, complex and product-based
Victoria Harnish will serve a two-year term
The firm didn't question the concentration in a high risk, exempt market product, the agreement said
Aspiring investors aren’t confident that investment advice is properly regulated, IIROC finds