self-regulatory organizations

New SRO proposes payback for harmed investors New SRO proposes payback for harmed investors

Industry

New SRO proposes payback for harmed investors

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

By James Langton |February 1, 2023

2 min read

New SRO plans October business continuity test New SRO plans October business continuity test

Industry

New SRO plans October business continuity test

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

By Staff |January 23, 2023

1 min read

Firms have immunity to aid SRO investigations, court rules Fallback Image Decorative pattern

Industry

Firms have immunity to aid SRO investigations, court rules

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

By James Langton |January 20, 2023

2 min read

Former MFDA IPC head Dorothy Sanford to chair new investor group Fallback Image Decorative pattern

Industry

Former MFDA IPC head Dorothy Sanford to chair new investor group

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

By James Langton |January 17, 2023

2 min read