Firm winding down after running into capital trouble
Risky firms, crypto platforms add to compliance division's workload
Ongoing regulatory initiatives include binding authority at OBSI, climate-related disclosures, misleading titles, mutual fund sales practices and more
Self-regulatory organization reported year-over-year decline in decisions and sanctions
SRO drops firm sponsorship requirement, among other changes
Consultation highlights industry concerns
SRO integration and investor protection also on the agenda
CIRO survey finds investors relying on social media, ranking it as worthy as traditional advice
Fund rep could fill out basic information, but not KYC info, on investment dealer accounts
Fees to rise for most firms as minimums go up, certain dealers pay higher share