Securities industry enforcement activity was more or less flat in 2018, according to the latest data from the Investment Industry...
CN Editor
January 23, 2019
BCSC FORFEITURE EFFORT CAN GO AHEAD, DESPITE DELAY
CIRO ALLEGES CONFLICTS OF INTEREST FAILURES BY FORMER DESJARDINS FINANCIAL SECURITY INVESTMENTS REP
CIRO SANCTIONS FORMER INVESTORS GROUP FINANCIAL SERVICES INC REP FROM ST. JOHN"S, NFLD
COURT ORDERS AMF TRIBUNAL TO CONSIDER SETTLEMENT
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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