FREE Membership Sign in

Timeline announced for creation of new self-regulatory organization

By Kate McCaffery | Nov. 19, 2021, 10:30 a.m.

Photo: Freepik | dashu83

The Canadian Securities Administrators has established a timeline for the creation of a new SRO, consolidating the MFDA and the IIROC.

This article is reserved to PRO Level subscribers

Discover the PRO Level

The most popular in Investment

Rep suspended after 134 altered forms discovered

All new Desjardins annuity investments to be “responsible” going forward

Investment in Canadian fintech drops more than 50 per cent in first half of 2022

Headlines

Mercer compensation survey examines inflation pressures

The big reasons to take care of the little things in your business

Flood Insurance: Solution expected by late 2022

Related topics …

Flash

Mercer compensation survey examines inflation pressures

Flood Insurance: Solution expected by late 2022

Mutual fund redemptions continue

Canadian employers planning highest pay hikes in two decades

CANADIAN SECURITIES ADMINISTRATORS (CSA)

Regulators begin review of principal distributor arrangements in mutual funds

Regulator publishes annual report

Regulators issue warning about suspicious e-mails

Regulators expects crypto trading platforms to provide pre-registration details

CHAMBRE DE LA SÉCURITÉ FINANCIÈRE (CSF)

Appropriation of funds: Guilty verdict

Investment firms’ association comments on single self-regulator

Investment funds industry association weighs in on single regulator

Incorporation of mutual fund advisors not part of new SRO’s agenda

DELOITTE

Property and casualty industry in a state of flux

Report outlines the challenges of keeping pace with Canadians’ insurance needs

Underwriting crisis: Task force issues recommendations

Leaders need to actively promote mental health - Jacques Goulet

INVESTMENT INDUSTRY REGULATORY ORGANIZATION OF CANADA (IIROC)

Rep sanctioned for third party app usage and failing to act as gatekeeper

Saskatchewan urged to drop proposed competency rules for advisors

Regulator proposes to levy more than $283,500 in administrative penalties

CSA to hold roundtable on proposed derivatives business conduct rule

THE INVESTMENT FUNDS INSTITUTE OF CANADA (IFIC)

Sun Life exec joins investment industry board of directors

Mutual fund redemptions continue in July

Securities administrators receive feedback on total cost reporting initiative

Funds record net redemptions in June

ROYAL MUTUAL FUNDS

Regulator fines advisor for using pre-signed forms in his former practice

Former advisor sanctioned with five-year ban and fine

MFDA fines former advisor for photocopying signatures

Advisor banned and fined more than $709K

CONSEIL DES FONDS D’INVESTISSEMENT DU QUÉBEC (CFIQ)

Quebec arm of investment funds organization re-elects chair

Industry groups respond to regulators’ self-regulatory organization consultation paper

Disclosure has changed behavior, but more work remains to be done, says Paul Bourque

Ross Kappele elected as Chair of The Investment Funds Institute of Canada

Timeline announced for creation of new self-regulatory organization

Choose your payment method

Confirmation