The SEC announced settled charges against 79 investment advisers who will return more than $125 million to clients, with a substa...
CN Editor
March 12, 2019
SEC SET TO CANCEL ADVISORY FIRMS" REGISTRATIONS
CIRO ALLEGES GATEKEEPER FAILURE BY FORMER BMO NESBITT BURNS REP FROM MONTREAL, QC
SEC SEEKS PUBLIC COMMENT ON THE CONSOLIDATED AUDIT TRAIL AND OTHER AUDIT TRAILS AND DATA SOURCES
CIRO SANCTIONS FORMER ROYAL MUTUAL FUNDS REP FROM VAUGHAN, ON
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BIG SIX AGREE ON THIRD-PARTY RISK MANAGEMENT COMPLIANCE FRAMEWORK
HOW FIRMS CAN USE AI IN A RESPONSIBLE, COMPLIANT WAY
ADJUDICATOR IN OSC VS. PURPOSE CASE STEPS DOWN
GUIDANCE ON TRADING SUPERVISION OBLIGATIONS