The Montreal Exchange (MX) is looking for candidates to serve on committees that carry out its disciplinary hearings. The MX reg...
CN Editor
February 01, 2019
OSC SEEKS APPLICATIONS FOR INVESTMENT FUNDS TECHNICAL ADVISORY COMMITTEE
CANADIAN FINANCIAL REGULATORS ANNOUNCE ESTABLISHMENT OF TOTAL COST REPORTING IMPLEMENTATION COMMITTEE
FCA AND PSR BOARDS APPOINT NEW MEMBERS TO DECISION-MAKING COMMITTEES
COMMISSIONER PHAM ANNOUNCES PROPOSED WORK PROGRAM FOR CFTC GLOBAL MARKETS ADVISORY COMMITTEE AND SEEKS INPUT BY MAY 30
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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