The proposed program is expected to take effect on Nov. 1
How will firms be able to address conflicts of interest in four common scenarios?
A 2016 compliance exam identified inadequate due diligence with regard to exempt market products
The SRO has made significant progress in achieving the priorities laid out in our three-year strategic plan
Canadian citizens filed US$10 million in false tax refund claims with the IRS
Board members bring valuable perspectives, CEO says
More than 200 active investigations by state and provincial securities regulators
Companies will be able to issue more shares without seeking approval from shareholders
Credit rating agency agrees to pay more than US$16 million in penalties
New fund provides exposure to the largest high dividend-paying companies across 23 developed international markets