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January 31, 2019
CIRO INVESTOR ALERT: TLC INVESTMENTS
CIRO ANNOUNCES CLIENT RESEARCH PROJECT
CSA AND CIRO RELEASE RESULTS OF REVIEW AND GUIDANCE ON CONFLICTS OF INTEREST OBLIGATIONS
CIRO SANCTIONS ADVISOR WITH RICHARDSON WEALTH IN CALGARY
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INVESTOR COMPLAINS THAT UNSUITABLE MUTUAL FUND INVESTMENTS LED TO FINANCIAL LOSS
BCSC SETTLES WITH PORTFOLIO MANAGER FOR SALES PRACTICE AND COMPLIANCE SYSTEM VIOLATIONS
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