The MFDA commenced a disciplinary proceeding in respect of Patrick Hugh Lumbers (“Lumbers”), a mutual fund salesperson with Inves...
CN Editor
March 26, 2019
ESMA CONSULTS ON AVOIDING GROUPTHINK AT FINANCIALS
CFTC ENFORCEMENT DIVISION ISSUES PREDICTION MARKETS ADVISORY
CIRO SANCTIONS HAMPTON SECURITIES LTD AND PETER MICHAEL DEEB FOR TRADING MISCONDUCT
EUROPE"S NEW AML COP LAUNCHES CONSULTATIONS
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CIRO NEEDS TO STOP SAYING "SHOULD"
OPINION: WHO WILL PAY FOR CIRO"S DATA BREACH?
CLIENTS" QUESTIONS ABOUT CIRO DATA BREACH FALL TO ADVISORS, DEALERS
ENTERING ORDERS ON BOTH SIDES OF THE MARKET