U.S. securities industry lobbyists are opposing the introduction of state-level fiduciary standards, which several states are see...
CN Editor
March 04, 2019
SEC CHARGES PRIVATE EQUITY FUND ADVISER AMERICAN INFRASTRUCTURE FUNDS FOR BREACHING ITS DUTIES
NEGATIVE IMPACTS OF THE SAFEGUARDING PROPOSAL ON INVESTORS, MARKET PARTICIPANTS, AND THE FINANCIAL MARKETS (JOINT TRADES)
CSA AND CIRO RELEASE RESULTS OF REVIEW AND GUIDANCE ON CONFLICTS OF INTEREST OBLIGATIONS
OSC PUBLISHES ANNUAL SUMMARY REPORT FOR DEALERS, ADVISERS AND INVESTMENT FUND MANAGERS
Thank you for the feedback!!
CIRO ALLEGES PI FINANCIAL CORP REP FAILED IN HIS GATEKEEPER OBLIGATIONS
COMPETENCY PROFILES FOR APPROVED PERSONS (INVESTMENT DEALERS)
SEC CHARGES VIRTU FOR FALSE AND MISLEADING DISCLOSURES RELATING TO INFORMATION BARRIERS
CIRO ADVISORY COMMITTEES