The MFDA has commenced disciplinary proceedings in respect of Madrie Ann Secord (“Secord”), a former mutual fund salesperson with...
CN Editor
February 27, 2019
OSC REACHES SETTLEMENT WITH LIQUIDNET CANADA FOR CONFIDENTIALITY BREACHES
CIRO ALLEGES WRONGDOING BY FORMER RR WITH SCOTIA SECURITIES IN VICTORIA, BC
OSC ANNOUNCES ALLEGATIONS AGAINST EMERITA RESOURCES CORP. AND ASSOCIATED INDIVIDUALS
SEC NAMES NEW ENFORCEMENT CHIEF
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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