self-regulatory organizations – Advisor's Edge https://phoenix.advisor.ca The best news source for Canadian financial advisors. Investments, financial markets, insurance, practice management, tax and estate planning Fri, 06 Oct 2023 17:44:58 +0000 en-CA hourly 1 https://wordpress.org/?v=5.9.3 https://phoenix.advisor.ca/wp-content/uploads/sites/5/2018/05/cropped-advisor-ico-32x32.png self-regulatory organizations – Advisor's Edge https://phoenix.advisor.ca 32 32 CIRO to step up fund dealer oversight in Quebec https://phoenix.advisor.ca/news/regulation/ciro-to-step-up-fund-dealer-oversight-in-quebec/ Fri, 06 Oct 2023 17:44:58 +0000 https://www.advisor.ca/?p=231564 AMF, provincial government approve delegation of powers to SRO

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]]> FP Canada calls for fee fairness under title protection https://phoenix.advisor.ca/news/industry-news/fp-canada-calls-for-fee-fairness-under-title-protection/ Tue, 26 Sep 2023 19:48:27 +0000 https://www.advisor.ca/?p=231142 FSRA's fee rule for credentialing bodies exempts CIRO from full costs

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]]> With costs projected to increase 9% in fiscal 2024, CIRO’s fees are also heading higher https://phoenix.advisor.ca/news/industry-news/with-costs-projected-to-increase-9-in-fiscal-2024-ciros-fees-are-also-heading-higher/ Tue, 26 Sep 2023 18:14:27 +0000 https://www.advisor.ca/?p=231157 Fees for investment dealers to rise 6.4%, annual report says

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]]> Ex-broker pleads guilty in crypto fraud case https://phoenix.advisor.ca/news/regulation/ex-broker-pleads-guilty-in-crypto-fraud-case/ Wed, 20 Sep 2023 16:55:56 +0000 https://www.advisor.ca/?p=230953 Clients' assets misappropriated rather than invested, U.S. authorities charged

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]]> Top Swiss regulator steps down https://phoenix.advisor.ca/news/regulation/top-swiss-regulator-steps-down/ Wed, 06 Sep 2023 20:19:50 +0000 https://www.advisor.ca/?p=230452 CEO cites stress, health in decision to resign from post

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]]> SEC ramps up hedge fund regulation https://phoenix.advisor.ca/investments/alternative-investments/sec-ramps-up-hedge-fund-regulation/ Wed, 23 Aug 2023 19:52:54 +0000 https://www.advisor.ca/?p=230041 New rules aim to improve transparency, investor protection in private fund market

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]]> SEC expands FINRA’s jurisdiction https://phoenix.advisor.ca/news/regulation/sec-expands-finras-jurisdiction/ Wed, 23 Aug 2023 19:04:25 +0000 https://www.advisor.ca/?p=230036 New rule sharply narrows prop traders' SRO exemption

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]]> CIRO plans industry-wide client research project https://phoenix.advisor.ca/news/industry-news/ciro-plans-industry-wide-client-research-project/ Fri, 04 Aug 2023 18:49:12 +0000 https://www.advisor.ca/?p=229502 SRO to expand former MFDA project to all dealers in 2024

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]]> CIRO fines firm for retail compliance violations https://phoenix.advisor.ca/news/industry-news/ciro-fines-firm-for-retail-compliance-violations/ Mon, 24 Jul 2023 19:49:03 +0000 https://www.advisor.ca/?p=229050 Firm admitted to serving retail investors before SRO approvals, systems in place

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]]> CIRO seeks margin rules for PPNs https://phoenix.advisor.ca/news/regulation/ciro-seeks-margin-rules-for-ppns/ Thu, 20 Jul 2023 21:22:22 +0000 https://www.advisor.ca/?p=228946 Proposal revises conservative approach initially sought by IIROC

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