IIROC"s Board granted relief to a firm from section A.1(c) of IIROC Dealer Member Rule 3200 (“Rule 3200”). Rule 3200 requires de...
CN Editor
February 25, 2019
CIRO PROFICIENCY EXEMPTION REQUESTS
CSA ADOPTS EXPEDITED SHELF PROSPECTUS REGIME FOR WELL-KNOWN SEASONED ISSUERS
NASAA SEEKS PUBLIC COMMENT ON PROPOSED NASAA MODEL FRANCHISE BROKER REGISTRATION ACT
NASAA SEEKS PUBLIC COMMENT ON PROPOSED AMENDMENTS TO INVESTMENT ADVISER ADVERTISING RULES
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CLEARING MEMBER UPDATE - FIDELITY CLEARING CANADA ULC
CIRO ALLEGES REFERRAL ARRANGEMENT VIOLATIONS BY FORMER KEMP FINANCIAL GROUP REPS FROM NIAGARA FALLS, ON
FINTRAC IMPOSES AN ADMINISTRATIVE MONETARY PENALTY ON PRIMARY CAPITAL INC.
CIRO CYBERSECURITY UPDATES