The regulator's accreditation relationship with CECAP will end on Dec. 31
IIROC panel found rep secretly compensated clients, misled investigators
The CSA chair provided details Wednesday about the new SRO and why he's "all in" on CRM3
The SRO withdrew the allegation after settling with the firm's former head
Marketing tactics by crypto firms are raising concerns with CSA and IIROC
The online event on Oct. 13 will focus on diversity issues for frontline staff
The settlement follows the firm's liquidation last year
IIROC's guidance on CFR requirements should include more information on risk, dependants and ESG, submissions say
Dealers must notify the regulator of new products and services
Consolidated rules and enhanced governance will be part of the changes