FINRA announced that it has fined Cantor Fitzgerald & Co. (Cantor) $2 million for Regulation SHO (Reg SHO) violations and supervi...
CN Editor
March 06, 2019
ONTARIO FIRM PAYS $60,000 FOR COMPLIANCE DEFICIENCIES
CIRO SANCTIONS FORMER ASSANTE CAPITAL MANAGEMENT REP FROM VANCOUVER, BC
CIRO SANCTIONS FORMER PFSL INVESTMENTS CANADA LTD REP FROM CALGARY, ALBERTA
FCA SEEKS FURTHER VIEWS ON ENFORCEMENT TRANSPARENCY PROPOSALS
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CIRO SANCTIONS DESJARDINS SECURITIES INC. FOR INADEQUATE SUPERVISION
CIRO SANCTIONS FORMER BMO INVESTMENTS REP FROM GUELPH, ON
EXEMPTIONS GRANTED BY CIRO IN 2023
CANADIAN SECURITIES REGULATORS EXPLORE STREAMLINING REGISTRATION DELEGATION TO THE CANADIAN INVESTMENT REGULATORY ORGANIZATION