The ASC has concluded a Settlement Agreement and Undertaking with Farhang (Fred) Dagostar Nikoo for breaches of Alberta securitie...
CN Editor
February 19, 2019
OSC ANNOUNCES ALLEGATIONS AGAINST EMERITA RESOURCES CORP. AND ASSOCIATED INDIVIDUALS
SEC NAMES NEW ENFORCEMENT CHIEF
CIRO ALLEGES UNAUTHORIZED TRANSACTION AND PERSONAL FINANCIAL DEALINGS BY FORMER SCOTIA SECURITIES REP FROM OTTAWA, ON
CIRO ALLEGES PERSONAL FINANCIAL DEALINGS AND FAILURE TO COOPERATE BY FORMER VENTUM FINANCIAL CORP REP FROM VANCOUVER, BC
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BIG SIX AGREE ON THIRD-PARTY RISK MANAGEMENT COMPLIANCE FRAMEWORK
HOW FIRMS CAN USE AI IN A RESPONSIBLE, COMPLIANT WAY
GUIDANCE ON TRADING SUPERVISION OBLIGATIONS
FORMER BROKER CHARGED IN "FREE RIDER" CASE