An OSC Panel approved a settlement with Katanga Mining Limited, former members of its board of directors Aristotelis Mistakidis, ...
CN Editor
December 30, 2018
CIRO SANCTIONS FORMER RBC DOMINION SECURITIES REP FROM VANCOUVER, BC
FIRM APPEALS OSC RECEIVERSHIP
CSA ISSUES GUIDANCE ABOUT REGULATORY CONCERNS WITH CERTAIN ASSET OR BUSINESS ACQUISITIONS
OSC CAN NOW COME KNOCKING IN YOUR INBOX
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SEC FINES CANADIAN FIRM OVER REGISTRATION
FINRA PROPOSES GIFT LIMIT INCREASE
FINANCIAL ACTION TASK FORCE IDENTIFIES JURISDICTIONS WITH ANTI-MONEY LAUNDERING, COUNTERING THE FINANCING OF TERRORISM, AND COUNTER-PROLIFERATION FINANCE DEFICIENCIES
OPINION: CANADA"S NEW AML REGULATIONS ARE A WAKE-UP CALL