* Crowd-funding portals may lack the required SEC registration or fail to belong to the mandated self-regulating organization
But the CRTC forwarded the complaint to the Canadian Broadcast Standards Council (CBSC), the broadcasting industry's voluntary self-regulating organization
To create liquidity in the market, the government then converted the former Bond Dealers Club into the Thai Bond Dealing Centre (TBDC), a self-regulating organization
of securities brokers.
A self-regulating organization
may be held liable when a patient, client, or customer suffers harm at the hands of a certified professional or by a product that is in compliance with industry standards.
Galileo Asset Management SA is a Swiss corporate finance firm and member of the Self-Regulating Organization
OAR-G, which is recognized by the Swiss financial supervision organization (FINMA).