The CSA issued Staff Notice 23-324 to provide market participants with the list of marketplaces that display protected orders (pr...
CN Editor
February 07, 2019
INVESTOR ALERT: RAMP-AND-DUMP SCAMS SURGE AS FRAUDULENT "INVESTMENT GROUPS" TARGET UNSUSPECTING INVESTORS
CSA PUBLISHES PROPOSED AMENDMENTS TO INSIDER REPORTING REQUIREMENTS FOR COMMENT
CSA STAFF NOTICE 11-349 NOTICE OF LOCAL AMENDMENTS IN CERTAIN JURISDICTIONS
CANADIAN SECURITIES REGULATORS REPORT ON KEY OVERSIGHT ACTIVITIES OF CIRO AND CIPF
Thank you for the feedback!!
BIG SIX AGREE ON THIRD-PARTY RISK MANAGEMENT COMPLIANCE FRAMEWORK
HOW FIRMS CAN USE AI IN A RESPONSIBLE, COMPLIANT WAY
ADJUDICATOR IN OSC VS. PURPOSE CASE STEPS DOWN
GUIDANCE ON TRADING SUPERVISION OBLIGATIONS