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DISTRIBUTING FUNDS DISGORGED AND COLLECTED THROUGH CIRO DISCIPLINARY PROCEEDINGS TO HARMED INVESTORS (PHASE II)

On January 1, 2023, Investment Industry Organization of Canada (IIROC) and the Mutual Fund Dealers Association of Canada (MFDA) amalgamated (Amalgamation) to form the New Self-Regulatory Organization...

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CIRO
CIRO MEMBER RESIGNATION - CREDIT SUISSE SECURITIES (CANADA), INC.
October 22, 2024

Credit Suisse Securities (Canada), Inc. has resigned from membership from the Canadian Investment Regulatory Organization. This r...

SEC
SEC DIVSION OF EXAMINATIONS ANNOUNCES 2025 PRIORITIES
October 22, 2024

The Securities and Exchange Commission’s Division of Examinations released its 2025 examination priorities. The Division publishe...

SEC
SEC CHARGES ADVISORY FIRM WISDOMTREE WITH FAILING TO ADHERE TO ITS OWN INVESTMENT CRITERIA FOR ESG-MARKETED FUNDS
October 22, 2024

The Securities and Exchange Commission charged New York-based investment adviser WisdomTree Asset Management Inc. with making mis...

Investment Executive
ASC SHIFTS ITS APPROACH TO COST ORDERS
October 22, 2024

Following a rule change that takes effect at the end of the month, the Alberta Securities Commission (ASC) will move to calculati...

CIRO
INVESTOR ALERT: CIRO IMPERSONATOR
October 21, 2024

The Canadian Investment Regulatory Organization (CIRO) is warning Canadian investors not to be fooled by a fraudster impersonatin...

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