Plans for an experiment to explore the impact of regulating trading venues’ fee structures are sparking joy with many market play...
CN Editor
March 08, 2019
CSA SEEKS COMMENT ON MODERNIZING THE REGULATION OF PUBLIC COMPANIES
ONTARIO COMMITTED TO JOINING CSA PASSPORT SYSTEM: CHAMPAGNE
RBC SETTLES TRAILER FEE CLASS ACTION
CSA PUBLISHES UPDATED CYBERSECURITY FINDINGS AND GUIDANCE FOR REGISTERED FIRMS
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CIRO SANCTIONS RBC DOMINION SECURITIES INC. FOR SUPERVISORY FAILURES
MEMBER FIRM AND REGISTERED REPRESENTATIVES VIOLATED REGULATION BEST INTEREST BY EXCESSIVELY TRADING AND CHURNING NUMEROUS CUSTOMER ACCOUNTS
REGISTRATION RECORD REQUESTS FOR INDIVIDUALS
BCSC ALLEGES INVESTMENT PROFESSIONAL LIED TO INVESTIGATORS