IIROC has published for comment a proposed Product Due Diligence and Know-Your Product guidance. This guidance is intended to ass...
CN Editor
November 19, 2020
SEC FINALIZES RULES TO REDUCE RISKS IN CLEARANCE AND SETTLEMENT
SEC ADOPTS MONEY MARKET FUND REFORMS AND AMENDMENTS TO FORM PF REPORTING REQUIREMENTS FOR LARGE LIQUIDITY FUND ADVISERS
CANADIAN SECURITIES REGULATORS AUTHORIZE DISCONTINUATION OF THE CANADIAN DOLLAR OFFERED RATE
CIRO RULE CONSOLIDATION PROJECT - PHASE 3
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CIRO COMPLIANCE PRIORITIES REPORT FOR 2024: HELPING FIRMS WITH COMPLIANCE
CIRO SANCTONS BMO NESBITT BURNS FOR SUPERVISORY FAILURES
NEW CIRO COMPLAINT HANDLING BROCHURE AND REMINDER REGARDING DEADLINE TO UPDATE MEMBERSHIP DISCLOSURES TO CIRO
CANADIAN SECURITIES REGULATORS PUBLISH TWO NEW ANNUAL REPORTS