CSA and FSB have each offered advice to firms
IIROC urges investment dealers to start prepping for rule changes now
The regulator aims to modernize its requirements for the use of company securities as pay
Proposed exemption would allow non-accredited investors to self-certify their sophistication
The SRO has proposed rule changes in an effort to conform to CSA reforms
Protecting material non-public information is paramount when staff work remotely
The regulator is also trying “to remove barriers to inclusion"
The Trump appointee presided over a deregulatory push to soften rules affecting Wall Street
Fees will be reviewed after markets stabilize and the outcomes of the Capital Markets Modernization Taskforce are known
SRO to host online event Nov. 27, second session on Dec. 17