Banwell Financial Inc. has resigned from Membership in the Mutual Fund Dealers Association of Canada. Banwell Financial Inc. was...
CN Editor
January 06, 2019
DISGORGEMENT - PROPOSED AMENDMENTS TO THE MUTUAL FUND DEALER RULES
MX - ADMISSION OF APPROVED PARTICIPANT - INDEPENDENT TRADING GROUP (ITG) (#84)
CI FINANCIAL CORP. - CHANGE IN CONTROL
CIRO MEMBER NAME CHANGE: OPTIMIZE WEALTH MANAGEMENT INC.
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CLEARING MEMBER UPDATE - FIDELITY CLEARING CANADA ULC
CIRO ALLEGES REFERRAL ARRANGEMENT VIOLATIONS BY FORMER KEMP FINANCIAL GROUP REPS FROM NIAGARA FALLS, ON
FINTRAC IMPOSES AN ADMINISTRATIVE MONETARY PENALTY ON PRIMARY CAPITAL INC.
OSC SAYS IT"S CONDUCTING COMPLIANCE EXAMS ON SALES PRACTICES AT BIG 5 FUND DEALERS