The BCSC published for public comment proposed amendments to the MFDA"s By-law No.1, Sections 3.3 (Election and Term), 3.6.1 (Gov...
CN Editor
March 15, 2019
BCSC ALLEGES UNREGISTERED ACTIVITY BY B.C. RESIDENT AND CONNECTED COMPANIES
CANADIAN SECURITIES REGULATORS PROPOSE PROHIBITING THE USE OF CHARGEBACKS IN THE DISTRIBUTION OF INVESTMENT FUNDS
BCSC DISGORGEMENT ORDER SURVIVES BANRUPTCY
BCSC IMPOSES $22,500 PENALTY ON B.C. RESIDENT FOR OMITTING DISCIPLINARY HISTORY FROM CORPORATE DOCUMENTS
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SEC FINES CANADIAN FIRM OVER REGISTRATION
FINRA PROPOSES GIFT LIMIT INCREASE
FINANCIAL ACTION TASK FORCE IDENTIFIES JURISDICTIONS WITH ANTI-MONEY LAUNDERING, COUNTERING THE FINANCING OF TERRORISM, AND COUNTER-PROLIFERATION FINANCE DEFICIENCIES
OPINION: CANADA"S NEW AML REGULATIONS ARE A WAKE-UP CALL