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GF SECURITIES (CANADA) COMPANY LIMITED RESIGNS FROM IIROC MEMBERSHIP

GF Securities (Canada) Company Limited has resigned from membership in the Investment Industry Regulatory Organization of Canada effective January 27, 2022.

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MFDA
TEAMMAX INVESTMENT CORP. HAS RESIGNED FROM MFDA MEMBERSHIP
January 28, 2022

The MFDA has been informed that TeamMax Investment Corp. intends to resign its membership in the Mutual Fund Dealers Association ...

ESMA
EUROPEAN REGULATORS INTEGRATE ESG INTO KYC
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Financial firms will have to collect information from retail investors on their environmental, social and governance (ESG) invest...

CSA
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The Canadian Securities Administrators (CSA) today announced amendments to National Instrument 94-101 Mandatory Central Counterpa...

CSA
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In an effort to reduce needless compliance costs for the fund industry, the Canadian Securities Administrators (CSA) are proposin...

MFDA
MFDA SANCTIONS FORMER SCOTIA REP FROM SASKATOON, SK
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The MFDA has sanctioned Maryanne Leslie Yu, a former Scotia Securities representative based out of Saskatoon, Saskatchewan. The M...