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
IIAC TO MANITOBA: TITLES ARE REGULATED BY CSA AND CIRO
IIAC: RECOMMENDATIONS FOR OSC ENFORCEMENT MONEY
FSRA PUBLISHES FINAL FEE RULE FOR ITS SECTORS
NEW WEBCAST: SRO EXAMINATION SERIES #1: FINANCIAL OPERATIONS (FINOPS) HOSTED BY THE INVESTMENT INDUSTRY ASSOCIATION OF CANADA (IIAC)
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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