The IIAC wrote to the OSC on Dec 10, 2018 regarding the the recent decision by the US SEC relating to market data fees, and the a...
CN Editor
January 01, 2019
FCAC FINES BMO $4M FOR OVERCHARGING FEES
AMENDMENTS TO THE LIST OF FEES OF MONTREAL EXCHANGE INC. EFFECTIVE MARCH 2, 2026
AMENDMENT OF APPROVED PERSON FEES COMPONENT WITHIN THE ANNUAL FEE OF DEALER MEMBER FEE MODEL
FINRA ORDERS AMERICAN PORTFOLIOS FINANCIAL SERVICES TO PAY $4.6 MILLION IN RESTITUTION FOR OVERCOLLECTION OF FEES, RETENTION OF SURPLUS INTEREST
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THE BANKER, THE BROTHERS, THE FRIENDS AND THEIR FRAUDS
2026 COMPLIANCE PRIORITIES AND REGULATORY DIVISION INITIATIVES
DRAMATIC INCREASE IN FINTRAC FINES COMING, BUT THEIR EFFECTIVENESS IS LESS CLEAR
CIRO NEEDS TO STOP SAYING "SHOULD"