IIROC published updated guidance to clarify and remind investment firms that they can offer their clients the convenience of elec...
CN Editor
March 27, 2019
INVESTOR ALERT: TRADOCK LTD FALSELY CLAIMS IIROC REGISTRATION
CSA ADOPTS EXPEDITED SHELF PROSPECTUS REGIME FOR WELL-KNOWN SEASONED ISSUERS
NASAA SEEKS PUBLIC COMMENT ON PROPOSED NASAA MODEL FRANCHISE BROKER REGISTRATION ACT
NASAA SEEKS PUBLIC COMMENT ON PROPOSED AMENDMENTS TO INVESTMENT ADVISER ADVERTISING RULES
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OSC SEEKS TO ENFORCE D&O SANCTIONS
OSC SAYS IT"S CONDUCTING COMPLIANCE EXAMS ON SALES PRACTICES AT BIG 5 FUND DEALERS
FINANCIAL PLANNER LOSES CERTIFICATION OVER DISCRIMINATORY SOCIAL MEDIA POSTS
AS AI TAKES OFF, REGULATORS STRUGGLE TO KEEP UP