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DOHENY SECURITIES RESIGNING CIRO MEMBERSHIP

The Canadian Investment Regulatory Organization has been informed that Doheny Securities Limited intends to resign its membership. The resignation process has been initiated and Members will be info...

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BCSC
BCSC SUSPENDS REGISTRATION OF GENESIS WEALTH MANAGEMENT CORPORATION IN RICHMOND
July 25, 2024

The BCSC has suspended the registration of Genesis Wealth Management Corporation ("Genesis"), an exempt market dealer for failing...

CSA
MUCH WORK TO BE DONE, CSA YEAR IN REVIEW SHOWS
July 25, 2024

The Canadian Securities Administrators (CSA) have a long list of accomplishments from the past year — from policy work to enforce...

FINRA
FINRA’S REMOTE INSPECTIONS PILOT PROGRAM BEGINS; 741 MEMBER FIRMS SIGN UP
July 25, 2024

A total of 741 member firms volunteered to participate in FINRA’s Remote Inspections Pilot Program, FINRA announced today in a bl...

CSA
CANADIAN SECURITIES ADMINISTRATORS RELEASE 2023-2024 YEAR IN REVIEW
July 24, 2024

The Canadian Securities Administrators (CSA) published its annual Year in Review, which covers the CSA’s progress made between Ju...

OBSI
OBSI REPORT: FUND DEALER COMPLAINTS DROP, BANK GRIPES UP
July 24, 2024

The Ombudsman for Banking Services and Investments (OBSI) is fielding a growing number of complaints and questions, driven by ris...