An MFDA Hearing Panel approved a settlement agreement between Staff of the MFDA and Shah Financial Planning Inc. ("Shah Financial...
CN Editor
March 29, 2019
CFTC CHARGES KUCOIN WITH OPERATING ILLEGAL DIGITAL ASSET DERIVATIVES EXCHANGE
NEW CIRO COMPLAINT HANDLING BROCHURE AND REMINDER REGARDING DEADLINE TO UPDATE MEMBERSHIP DISCLOSURES TO CIRO
FCA FINDS FAULT IN FIRMS" RETIREMENT ADVICE
CFTC ORDERS U.S. BANK TO PAY $6 MILLION AND OPPENHEIMER TO PAY $1 MILLION OF RECORDKEEPING AND SUPERVISION FAILURES FOR FIRM-WIDE USE OF UNAPPROVED COMMUNICATION METHODS
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CIRO COMPLIANCE PRIORITIES REPORT FOR 2024: HELPING FIRMS WITH COMPLIANCE
OSC REPORT SHEDS LIGHT ON DARK PATTERNS AND OTHER MANIPULATIVE DIGITAL ENGAGEMENT PRACTICES
FINANCIAL WATCHDOG STOPS THOUSANDS OF MISLEADING ADS AND PROMOTIONS
CIRO SANCTIONS FORMER INVESTORS GROUP FINANCIAL SERVICES REP FROM WINNIPEG, MB