Investment bank Haywood Securities Inc. is defending its work on a recent Aphria Inc. deal after two short-sellers took aim at th...
CN Editor
January 11, 2019
FCA PROPOSES REFORMS TO SHORT-SELLING RULES
FINANCIAL CRIME OVERSIGHT IN CORPORATE FINANCE FIRMS SHOWS GAPS, SAYS FCA
FEDERAL FINANCIAL CRIME TEAM CHARGES B.C. RESIDENT IN CONNECTION TO $47 MILLION INTERPROVINCIAL MONEY LAUNDERING SCHEME
CIRO PROPOSES AMENDMENTS RESPECTING MANDATORY CLOSE-OUT REQUIREMENTS
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OSC SEEKS TO ENFORCE D&O SANCTIONS
OSC SAYS IT"S CONDUCTING COMPLIANCE EXAMS ON SALES PRACTICES AT BIG 5 FUND DEALERS
FINANCIAL PLANNER LOSES CERTIFICATION OVER DISCRIMINATORY SOCIAL MEDIA POSTS
AS AI TAKES OFF, REGULATORS STRUGGLE TO KEEP UP