IIROC reviewed the thresholds used to capture “small” orders in the Dark Order Requirements and found that orders for low-priced...
CN Editor
January 11, 2019
CIRO INVESTOR ALERT: TLC INVESTMENTS
CIRO ANNOUNCES CLIENT RESEARCH PROJECT
AN INSIDE LOOK INTO FINRA’S CRYPTO ASSET WORK
APPROVAL OF PROPOSED AMENDMENTS TO INTRODUCE ALPHA-X AND ALPHA DRK
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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