An MFDA Hearing Panel approved a settlement agreement with Roland Mah ("Mah"), a mutual fund salesperson with PFSL Investments Ca...
CN Editor
January 23, 2019
CFTC ORDERS INTERACTIVE BROKERS TO PAY $20 MILLION FOR RECORDKEEPING AND SUPERVISION FAILURES FOR WIDESPREAD USE OF UNAPPROVED COMMUNICATION METHODS
SEC CHARGES CORPORATE INSIDERS FOR FAILING TO TIMELY REPORT TRANSACTIONS AND HOLDINGS
IIAC: RECOMMENDATIONS FOR OSC ENFORCEMENT MONEY
CIRO SANCTIONS RAYMOND JAMES REP FROM QUEBEC CITY
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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