IIROC is seeking applications for membership on the Proficiency Committee. This committee replaced the Education and Proficiency...
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December 30, 2018
CIRO INVESTOR ALERT: TLC INVESTMENTS
CIRO PROPOSED CLARIFYING AMENDMENTS TO REGISTRATION AND PROFICIENCY REQUIREMENTS
CIRO ANNOUNCES CLIENT RESEARCH PROJECT
CSA AND CIRO RELEASE RESULTS OF REVIEW AND GUIDANCE ON CONFLICTS OF INTEREST OBLIGATIONS
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BCSC SETTLES WITH PORTFOLIO MANAGER FOR SALES PRACTICE AND COMPLIANCE SYSTEM VIOLATIONS
INVESTOR COMPLAINS THAT UNSUITABLE MUTUAL FUND INVESTMENTS LED TO FINANCIAL LOSS
CIRO UPDATED GUIDANCE - ANTI-MONEY LAUNDERING COMPLIANCE FOR INVESTMENT DEALERS
PMAC SUMMARY ON THE OSC"S ANNUAL COMPLIANCE AND REGISTRANT REGULATION (CRR) BRANCH SUMMARY REPORT FOR DEALERS, ADVISERS AND INVESTMENT FUND MANAGERS