In an effort to enhance competition in the retail investment market, regulators in the U.K. are proposing new rules designed to m...
CN Editor
March 15, 2019
TRIBUNAL FINDS DAY TRADING PLATFORM ENGAGED IN "SPOOFING"
FCA DECIDES TO BAN FATHER AND SON FOLLOWING FRAUD AND MISUSE OF CLIENT MONEY
ONTARIO COURT ORDERS FUND MANAGERS TO PAY $170M FOR MARKET-TIMING TRADING
EX-REP"S LAWSUIT AGAINST ESTABLISHMENT TOSSED
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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