Keyword: self-regulatory organizations

39 results found
products

A review identified gaps in addressing conflicts associated with proprietary products

Lawyer

Panel concluded that rep was participating in proceeding anonymously

Lawyer writing in legal book

The case can either proceed to a contested hearing or the two sides may seek a new deal

Wooden gavel used by a judge or auctioneer

SRO panel delayed its decision pending proof of repayment that never came

Concept of important choices of a businessman, Business Challenge

Wealth leader Stephan Bourbonnais wants the iA businesses to lead the way in the new self-regulatory regime

  • By: Katie Keir
  • February 15, 2023 February 15, 2023
  • 14:00

The proposal would allow for disgorged funds to be paid out to victims of industry misconduct

personality test

The biennial exercise will be coordinated with the U.S. industry

  • By: Staff
  • January 23, 2023 January 23, 2023
  • 16:09
gavel

B.C. court strikes certain claims in rep's wrongful dismissal suit

microphones sitting on table

York University's Moshe Milevsky is the new IAP's vice-chair

Business people working in a conference room

The new agency has a website but its name will come later