The MFDA announced that it has issued a Notice of Settlement Hearing, dated March 1, 2019, regarding a proposed settlement agreem...
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March 14, 2019
COMPLAINT CONFIDENTIALITY IN THE PUBLIC INTEREST
CIRO SANCTIONS FORMER SUN LIFE FINANCIAL INVESTMENT SERVICES (CANADA) REP FROM VANCOUVER, BC
CIRO ALLEGES FORMER QUADRUS INVESTMENT SERVICES REP FROM CONCORD, ON, ENGAGED IN UNAPPROVED OUTSIDE ACTIVITIES
CIRO ALLEGES MISAPPROPRIATION AND FAILURE TO COOPERATE BY FORMER QUADRUS INVESTMENT SERVICES REP FROM ORILLIA, ON
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CLEARING MEMBER UPDATE - FIDELITY CLEARING CANADA ULC
CIRO ALLEGES REFERRAL ARRANGEMENT VIOLATIONS BY FORMER KEMP FINANCIAL GROUP REPS FROM NIAGARA FALLS, ON
FINTRAC IMPOSES AN ADMINISTRATIVE MONETARY PENALTY ON PRIMARY CAPITAL INC.
CIRO CYBERSECURITY UPDATES